FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development, implementation,
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President, Market Regulation,
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A final FINRA production User Acceptance Test (UAT) will occur on Saturday, April 10, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please
(a) General
Except as set forth in paragraphs (b) and (c) of this Rule or otherwise set forth in this Rule Series, the compliance date for this Rule Series is the date of Commission approval.
(b) Clock Synchronization
(1) Each Industry Member shall comply with Rule 6820 with regard to Business Clocks that capture time in milliseconds commencing on or before March 15, 2017.
(2) Each Industry
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A second FINRA production User Acceptance Test (UAT) will occur on Saturday, March 20, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please
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) 858-5119 or
SEC Approves New Rules Governing Communications With the Public
NEW YORK and WASHINGTON, DC, May 4, 2010 – NYSE Euronext (NYSE: NYX) and the Financial Industry Regulatory Authority (FINRA) today announced that they have agreed that FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. The agreement is subject to review by the Securities and Exchange Commission.
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing RuleUnderwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRuleUnderwriting Terms and Arrangements)Schedule A to the NASD
