As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
3/24/93
200
LONDON and WASHINGTON - The Financial Services Authority (FSA) and the US Financial Industry Regulatory Authority (FINRA) have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.
The Reg BI and Form CRS section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA Updates the Transparency Services FINRA Participant Agreement
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Additional Violations Included Unreasonable Charges for Bond Trades; Former Chief Compliance Officer Fined and Suspended
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The ninth annual Createathon, FINRA’s premiere innovation event, took place over the course of three days in late September. Over 530 staffers participated, including 32 competing teams spanning 11 departments as well as volunteers, DeepRacer competitors, and a dance troupe, to name a few.
Summary
FINRA requests comment on a proposed pilot program to study changes to corporate bond block trade dissemination based on recommendations of the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC or Committee). Specifically, the proposed pilot is designed to study two primary changes recommended by the FIMSAC: an increase to the
Michael Dillon, Senior Vice President, Enterprise Delivery Services, oversees FINRA’s assurance, engineering, user experience, operations, development tools and application support services.
Before joining FINRA in February 2006, Mr. Dillon served as the Corporate Director of Quality Assurance for a full-service contractor that specialized in large-scale information systems serving customers
