FINRA is issuing this OATS Report to further describe members’ OATS reporting obligations when handling orders on an agency basis.
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Security Futures Risk Disclosure Statement
OATS is in the process of upgrading the IFT/FTP servers. Below is important information for IFT and FTP users regarding the changes:
The Neutral Corner - Volume 1—2018
Mission Statement
An Introduction to FINRA’s National Arbitration and Mediation Committee (By Steven B. Caruso and Darya Geetter)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News and Q&As
NYC Bar Securities Arbitration & Mediation: Hot Topics 2018 (May 15, 2018)
American
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
This User Support page provides links to help and training resources for users of Web CRD.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
