Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
Many firms will from time to time seek to expand their business by, for example, adding a new line of business or substantially increasing the scope and size of their existing business that may or may not require a Continuing Membership Application (CMA) for FINRA's approval.
When contemplating a change to its business activities or operations, a firm should think about whether the proposed
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
FINRA would like to remind member firms of their obligation to file their appropriate short interest reports by their due dates.
October 24, 2006
On September 29, 2006, NASD filed a proposed rule change (SR-NASD-2006-115) to establish a new Trade Reporting Facility in conjunction with the Boston Stock Exchange ("BSE") that would provide members another mechanism for reporting trades in exchange-listed securities effected otherwise than on an exchange.
NASD is issuing this OATS Report to inform members that,
Request Manager facilitates the electronic exchange of information between firms/individuals and FINRA. With Request Manager, which is available via the FINRA Gateway and its designated portal, firms and individuals are able to securely submit, manage and track FINRA information requests.
Resources
Request Manager User Guide
FINRA Gateway page
FINRA Publishes a Request for Information by
Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.
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FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
