Displaying 781 - 790 of 28151 Results
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
The Neutral Corner—Volume 3, 2020
Mission Statement
Maintaining Arbitrator Neutrality in the Age of Social Media (by Joyce Park, FINRA Corporate Intern)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Hearing Postponements and Virtual Hearings
Virtual Arbitration Hearing Statistics
Arbitration Case Filings and Trends
Register for the DR Portal Today
Portal Enhancement: New
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the Miami Stock Exchange (MIAX).
Each document’s Revision History illustrates these changes and impacted fields.
Questions regarding this notice should be sent to FINRA Product Management or call (866) 899-2107.
FINRA is experiencing an issue this morning with the display of Weekly OTC Transparency Data for the week of August 17, 2020 (Tier 1) on the OTC Transparency Data website. However, the data is available via the API. The issue is currently being investigated and a subsequent notice will be published once the data is available on the website.
If you have any questions, please contact ATS Support.
The FINRA Test Facility (NTF) will be undergoing systemic maintenance and will be unavailable for TRAQS and API reference data users all day on Friday, December 11, 2020.
NTF FIX users and NTF data feed recipients are unaffected by this event. In addition, no production systems are affected by this maintenance.
Please contact FINRA Product Management or call (866) 899-2107 with questions
(a) Demand for Deposit
The party who is partially unsecured by reason of a change in the market value of the subject of a contract in securities may demand from the other party a deposit equal to the difference between the contract price and the market price, without being required to make a mutual deposit. Such deposit shall be made either with the member demanding same or with a mutually
information needs to be accurately and timely reported-- period. That information is lagging is a joke-- that people charge to provide this lagging information is shameful. There should be no platform one has over another. That there is-- is evidence money buys influence -- this is a country of laws.. unless it is in the financial world. The markets are a free for all for those that control,
Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS
Summary
FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.
Questions concerning this
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to the definition of "Executive Representative" that are intended to better assure proper communication with members on important matters.
BACKGROUND