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 Account
March 15, 2006
New Market Center Code Effective June 1, 2006
Reporting Requirements for Orders Transmitted Between NASD-only and NASDAQ-only members
On January 13, 2006, the Securities and Exchange Commission (SEC) approved NASDAQ's application to register as a national securities exchange.1 NASDAQ is currently working with the SEC to determine the operational date - the date on which
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a Regulatory Notice requesting comment on changes to the expungement process.
FINRA proposes to establish a roster of arbitrators with additional training and specific backgrounds or experience from which a panel would be selected to decide requests for expungement of customer dispute information in settled cases and
Thursday, December 14, 2017
4:15 p.m. – 5:00 p.m. ET
FINRA is hosting a phone-in workshop and WebEx presentation to introduce the Cross Market Equities Supervision: Potential ATS Cross Manipulation and Cross Market Equities Supervision: Potential Auto Execution Manipulation Report Cards. These two new Report Cards are anticipated to become available on the FINRA Report Center in early January.
January 18, 2006
NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957.
On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
August 16, 2001NASD Regulation reminds all firms that any order events received on an OATS business day must be reported to OATS by 04:00 Eastern Time (04:00:00 A.M.) the next calendar day. Those reports not received by 04:00 (04:00:00 A.M.) will be marked late.An OATS business day begins the second after the close of the day session of The Nasdaq Stock Market on one market day and ends at the
