The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Suitability for Retail Customers
Fixed Income Mark-up Disclosure
Reasonable Diligence for Private Placements
Abuse of Authority
SEC Approves Proposed Rule Filing SR-FINRA-2011-063 related to Information Barrier ID, Customer Instruction Flag and the OATS Reporting Deadline.
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Effective with the October 3, 2011 OATS Release, the OATS Rules will require member firms to report to FINRA order information for all NMS stocks and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.
Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). Firms that intend to be a participant in the FINRA/Nasdaq TRF Chicago must submit a FINRA/Nasdaq TRF Chicago Participation Request Form to the FINRA/Nasdaq TRF and FINRA, in accordance with
Beginning July 11, 2011 with the implementation of the OATS for all NMS Stocks release in OATS Production, firms will receive feedback related to ROE rejections as per the following.
