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TO: All NASD Members
ATTN: Operations Principals, Cashiers and Buy-In Personnel
On October 19, 1984, amendments to Sections l(c) and 59(j), "Buy-In Procedures," of the Association's Uniform Practice Code, were approved by the SEC. The Code prescribes the manner in which over-the-counter securities transactions other than those cleared through a registered clearing agency are
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the e-mail addresses “[email protected]” and “[email protected]”. The e-mail addresses and domain “data-finra.org” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they may receive similar phishing emails from other domain names in addition to those identified in this Alert.
Regulatory Notice 21-19; I have watched the stock that I am invested in get shorted into the ground, manipulated through short ladder attacks and dark pool trading. If I am to maintain any faith at all in the integrity of the North American stock market system, it can only happen if Citadel Securities is called to report their short position and other requested information per the Regulatory
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
As previously announced, the IntelligentCross ATS (MPID: INCR) intends to become an active quoting participant on FINRA’s Alternative Display Facility (ADF), pending Securities and Exchange Commission (SEC) approval.
FINRA and INCR will participate in the second CTA/UTP production User Acceptance Test on Saturday, February 25, 2023, from 9:30 a.m. to 11 am. ET.
The following symbols will be
I am opposed to FINRA Regulatory notice # 22-08.
The decision for such investments should lie between a broker and an investor, akin to the relationship between a doctor and patient.
If additional investment risk information is needed, FINRA should promulgate it. I am and have been capable of understanding the investment risk with these investments for some time. I do not need the consequences
Sec. 4.12 (a) Notice of any meeting of the Board shall be deemed to be duly given to a Director if: (i) mailed to the address last made known in writing to FINRA Dispute Resolution by such Director as the address to which such notices are to be sent, at least seven days before the day on which such meeting is to be held; (ii) sent to the Director at such address by electronic transmission,
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and by-laws. Designated firm contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our member firms.
In accordance with its regulatory responsibilities pursuant to Regulation NMS, FINRA is issuing a pre-quotation notice1 to advise that it plans to certify a new participant to begin using FINRA’s Alternative Display Facility (ADF) for quotation and trading of CTA and UTP listed securities on or after Monday, March 27, 2023, subject to regulatory approval and related announcements.
Once certified
Some TRACE FIX clients are currently experiencing connectivity issues. FINRA is working on a solution and will provide an update as more details are known.
Contact FINRA Product Management with questions regarding this notice.