On June 30th of this year, a leap second will be added after 23:59:59 GMT.
October 4, 2000
OSO Administrators at NASD member OATS reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of issues. The contact types required by OATS are:
Administrator—The primary contact for the OATS program.
Technical Support Contact—Assists the NASD in resolving OATS-related technical
The Trusted Contact Persons section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
T2 settlement is ridiculous. There’s no reason that information can’t be gathered daily.
I as an American citizen should have access to these products, not left only for the rich. The entire stock market is a complex beast, but with research there are many tools to become more informed. I am capable of making my own informed decisions. We as small investors should not have to jump through hoops that others do not. There are already so many restrictions and we should not have any more
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
(a) Application of FINRA Rule 8000 Series (Investigations and Sanctions) to Funding Portals
Except for FINRA Rules 8110, 8211, 8213 and 8312, all funding portal members shall be subject to the FINRA Rule 8000 Series, unless the context requires otherwise, provided, however, that:
(1) the term "member" as used in the FINRA Rule 8000 Series shall mean "funding portal member"
