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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 7, 1986, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,580. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A final FINRA production User Acceptance Test (UAT) will occur on Saturday, April 10, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 4, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
WASHINGTON— FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $15.2 million in restitution and interest to thousands of customers who purchased Class C mutual fund shares when Class A shares were available at substantially lower costs.
Mutual fund issuers offer different classes of mutual fund shares, including Class A and Class C
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
The Securities and Exchange Commission has recently approved revisions to several NASD qualification examinations. These changes become effective May 1, 1995. The revised examinations include the following.
Investment Company Products/Variable Contracts Representative Examination (Series
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A second FINRA production User Acceptance Test (UAT) will occur on Saturday, March 20, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and all amendments thereto, the by-laws and all amendments thereto, forms of stock certificates and any and all agreements or other documents and amendments thereto relating to the business or
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and
Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.