FINRA Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).Frequently Asked QuestionsAre face masks required at in-person hearings?In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the
Summary
On November 8, 2021, FINRA will cease operation of the OTC Bulletin Board (OTCBB)—a FINRA-operated inter-dealer quotation system—and delete the OTCBB-related rules from the FINRA rulebook.
Questions regarding this Notice should be directed to:
Chris Stone, Vice President, Transparency Services (TS), at (202) 728-8457 or by email; and
Randy Rivera, Director, TS, at (212)
As a retail investor and trader, I protest FINRA's consideration to either limit of remove the option of purchasing leveraged and inverse ETFs. This action limits opportunities for retail traders and investors to use these instruments for hedging purposes. Since this is my money at risk and not the general public's I feel I have the understanding and competency in choosing where
I am fully capable to make my own decisions regarding investments. Limiting public investments to a specific few people is directly contrary to the free market system. I am capable of educating myself and do not need a government agency creating a test to determine if I am ready. I do not need someone else to tell me what I am capable of, or if I understand the risks well enough to make good
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
SUGGESTED ROUTING*
Legal & Compliance
Operations
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
On May 1, 1990, the NASD and the New York Stock Exchange (NYSE), subject to resolving certain contract language, will begin computer administration of the (Series 7) General Securities
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that. On this episode, FINRA’s regulatory leaders join us to discuss key takeaways from the report.
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
December 1999
SEC—Year 2000 Recordkeeping Rule
Effective August 31, 1999, the Securities and Exchange Commission (SEC) adopted SEC Rule 17a-9T (the Rule) relative to Year 2000. The Rule, which was originally proposed in March 1999, is intended to assist broker/dealers, the SEC, self-regulatory organizations (SROs), and the Securities Investor Protection Corporation (SIPC) in identifying all
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of May 25, 1995, the following 47 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,781:
Symbol
Company
Entry Date
SOES Execution Level
REPS
Republic Engineered Steels, Inc.
4/28/95
500
PLSIA
Premier Laser
