FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
April 15, 2002The time period to correct a New Order Report or a subsequent order event depends on how long it has been since the New Order Report was accepted by OATS. The system maintains two files for validating data it has accepted: the Day Order File and the GTC File. The Day Order File contains all DAY, GTT, and Market orders for a rolling five business days. The GTC File contains GTC, GTM
June 13, 2006
On March 15, 2006, NASD published an OATS Report entitled NASDAQ Exchange Registration – OATS Reporting Changes. This article discussed several OATS issues relating to NASDAQ’s operation as an exchange, including NASD’s pending rule filing proposing to establish rules for the trade reporting of transactions otherwise than on an exchange through a new NASD facility, called the Trade
Monthly Disciplinary Actions December 2017
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
View past OATS Reporting Technical Specifications. These pages are listed in reverse chronological order by release date.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) and Georgetown University’s McDonough School of Business today announced a partnership to deliver the FINRA Institute at Georgetown Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program in Washington, DC.
The CRCP program is the premier executive program designed specifically for securities industry regulatory and
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm needs to simply follow the steps below. There are no additional Equifax membership fees if your firm is already an Equifax member.
Complete an Equifax Membership Addendum: Existing members of Equifax should contact the Equifax Customer Service at 1(800) 796-6573 to request an Equifax
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm only needs to complete an Equifax Membership Addendum and follow the Equifax Existing Member Account Set Up Process. There are no additional Equifax membership fees if your firm is already an Equifax member.
If you are an NASD member firm that wants to create a new Equifax Member
