Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
Currently, some ATS firm data is being displayed under multiple names, but for the same MPID. This is due to a mid-reporting period name change. FINRA is currently updating the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. When the fix has been implemented and the historical data has been updated, FINRA will issue another Technical
WASHINGTON, D.C. – To kickoff April as Financial Literacy Month, the FINRA Investor Education Foundation (FINRA Foundation) and the American Library Association (ALA) today announced the selection of 50 U.S. public libraries to be part of a national tour of the traveling exhibition, Thinking Money for Kids.
Thinking Money for Kids is a new financial literacy experience for children ages 7 to 11
Neutral Corner - Volume 1—2019
Mission Statement
Discovery Abuses Can Be Costly (By David Carey, Associate Director, FINRA Case Administration)
Parties May Request Additional Information from Arbitrators Participating in Mock Arbitrations
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal Enhancement
Arbitrator and Mediator
FINRA is issuing this OATS Report to describe members' OATS Exchange Route Matching (ERM) obligations when routing to a national securities exchange.
FINRA is migrating the Alternative Display Facility (ADF) to a new technology platform, and has published new FIX protocol specifications for interfacing with the system.
TRACE to Serve as Centralized Source for Consistent, Timely, Accurate Security Information
WASHINGTON — FINRA today filed with the U.S. Securities and Exchange Commission a proposal to expand its collection and dissemination of new-issue reference data for corporate bonds. The proposal calls for FINRA’s TRACE (Trade Reporting and Compliance Engine) to serve as a centralized source for market
