This past August, over 250 people at FINRA took two days to find data driven solutions for FINRA. With over 45 teams, there were some amazing ideas that came out of this hackathon. Below are 13 awesome ideas teams came up with.
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
The FINRA/Nasdaq TRF1 experienced an issue today, Friday, December 1, 2023, from 8:00 a.m. ET through 9:23:22 a.m. ET. The FINRA/Nasdaq TRF was rejecting trade reports for a subset of firms, and the root cause was due to a misconfiguration on Nasdaq’s Post Trade Risk system. The configuration was an update to the Post Trade Risk system in preparation for ACT Risk Management service
TO: NASD Members and Other Interested Persons
BACKGROUND
On January 11, 1988, the Securities and Exchange Commission approved the Order Confirmation Transaction (OCT) service, a new communications enhancement for the NASDAQ System.
The SEC granted approval for a period of 90 days under the accelerated approval provisions of the Securities Exchange Act of 1934. During this 90-day period, the SEC
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
Instructions for Completing the FINRA Participation Agreement
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
The Financial Industry Regulatory Authority (FINRA) Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Service (ATDS), Securitized Products Dissemination Service (SPDS) feeds and 144A Bond Trade Dissemination Service (144A) are available via a number of extranet providers, and software solutions for feed integration are available through third-party vendors. Additional vendors
A firm’s journey to the cloud varied based on a given firm’s specific facts and circumstances. Several firms noted that cloud migration was not a simple, linear process, even with adequate preparation, and there was no easy formulaic way to conduct a migration, given the unique circumstances of each firm. Despite the difference in each firm’s journey, however, some common themes emerged regarding
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
Trading
Executive Summary
In 1996 there was an abundance of news and magazine articles, web pages, and special hearings in Congress designed to promote awareness of the Year 2000 (Y2K) challenge and to communicate information about the potential
