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.
Summary
FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals.
Integration of Enforcement Functions Complete; Unified Enforcement Program Key Outcome of FINRA360
WASHINGTON – FINRA announced today the Department of Enforcement’s new structure and senior leadership team. This marks the completion of the final phase of the integration of FINRA’s enforcement functions—a process that began with the July 2017 promotion of Susan Schroeder to FINRA’s Head of
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
TRACE for Securitized Products CTCI (v1.2)
Board Approves Rule Proposals, Welcomes New Governors and Honors Retiring Governors
WASHINGTON—FINRA’s Board of Governors held its third meeting of 2018 on July 18-19 in Washington, D.C., where it approved four rule proposals, welcomed two new Governors and honored two who are stepping down from the Board.
The FINRA Board also continued its engagement with key stakeholders, meeting with SEC
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
