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The Net Capital section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The units of delivery for certificates of deposit for bonds, shall be the same as prescribed for bonds in Rule 11362.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
Generally, brokers and dealers use subordinated loans and notes collateralized by securities (referred to as subordinations) to borrow funds or securities from investors to increase their regulatory net capital. Pursuant to FINRA Rule 4110(e)(1), subordinations must be approved by FINRA in order to receive beneficial regulatory capital treatment.
This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
Currently, in the Tier 1 5/13/19 weekly report, there is ATS data that is unattributed (that is, there is no ATS name associated with one line of data found in the ATS Data tab). See below:
FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.
If you have any questions, please contact FINRA Business Services.
TO: All NASD Members and Other Interested Persons
On February 8, 1988, the NASD published Notice to Members 88-11 requesting comment on proposed amendments to Article III, Section 27 of the NASD Rules of Fair Practice. These amendments would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction
Currently, in the Tier 1 5/13/19 weekly report, there is ATS data that is unattributed (that is, there is no ATS name associated with one line of data found in the ATS Data tab). See below:
FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.
If you have any questions, please contact FINRA Business Services.
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the FINRA/Nasdaq TRF Chicago, IEX (Investors Exchange) and LTSE (Long-Term Stock Exchange).
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-
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Senior ManagementLegal & ComplianceOperationsRegistrationOther
EXECUTIVE SUMMARY
In response to member inquiries, the NASD is publishing guidelines that apply to the employment of unregistered persons to contact prospective customers. Unregistered persons may extend invitations to firm-sponsored events and inquire whether the prospective customer wishes to discuss investments
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.