FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.
Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and
Beginning Monday, September 24, 2018, FINRA will add a new Daily Short Sale Volume File to its TRF – Regulation SHO data page. This file will provide aggregate daily short sale volume data by security that has been reported to the new FINRA/Nasdaq TRF Chicago.
FINRA will also begin publishing a Monthly Short Sale Transaction File for NMS stocks reported to the FINRA/Nasdaq TRF Chicago
Restructured Qualification Examinations and Related Examination Fees
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Proposed Rule Change Relating to District Committee Structure and Governance
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
