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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 1, 1985, 31 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,143. These 31 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and continuing education sessions. The registration filing requirements of the CRD program are being integrated into the new FINRA Gateway system.
FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders.FINRA is committed to providing guidance, updates and other information to help stakeholders stay informed about the latest developments. New information will be posted on this page as it becomes available.Operating StatusDue to the COVID-19
NASD Regulation Reminds Members To Develop Year 2000 Plans
NASD Regulation, Inc., urges National Association of Securities Dealers, Inc. (NASD®) members to develop and implement an action plan to ensure and achieve Year 2000 compliance. The scope of Year 2000 plans should extend to all information technology systems (internal and external) used to conduct a securities business and other
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
I. Introduction
FINRA, a not-for-profit organization, is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets. Authorized by Congress, FINRA works to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to
2005–2006 Filing Due Dates
NASD would like to remind members of their obligation to file
the appropriate FOCUS reports, Annual Audits, and Customer
Complaints by their due dates. The following schedule outlines
due dates for 2005. Questions regarding the information to be
filed can be directed to the appropriate District Office. Business
questions as to how to file the FOCUS report, resetting
2004 2005 Filing Due Dates
NASD would like to remind members of their obligation to
file the appropriate FOCUS reports, Annual Audits, Customer
Complaints, and Short Interest Reports by their due dates.
The following schedule outlines due dates for 2005. Questions
regarding the information to be filed can be directed to the
appropriate District Office. Business questions as to how to file
the
2003 - 2004 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting