July 2008
The Market Regulation Department of FINRA, in coordination with NYSE Regulation, is conducting a review of Broker-Dealer's (the "firm") compliance with: NYSE Rule 435(5), which prohibits the circulation of false or misleading rumors "of a sensational character which might reasonably be expected to effect market conditions"; NASD Rule 5120(e), which prohibits
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
January 2008
FINRA is conducting a review of the policies, procedures and controls with respect to information barriers. To facilitate this review, FINRA requests a copy of the following information and/or documentation:
Organizational charts for the firm's investment banking department (or equivalent department, i.e. financial advisory department) and compliance
FINRA Market Data Policies for TRACE data vendors/subscribers.
NASD issues this annual publication to assist member firms in their compliance efforts.
May 2006
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
These report cards assist NYSE-reporting firms in monitoring compliance with NYSE Rule 123(e) and (f), which requires NYSE-reporting firms—immediately after receiving an order on the floor—to submit the order information to the FESC database before the orders are represented on the floor.
On March 18, 2013, FINRA will be upgrading Secure Transport in the Production (PD) environment from the current version of 4.9 to version 5.1. These changes will be available in the Certificate Test (CT) environment on February 19, 2013.
Pursuant to a Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for OTC trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) and FINRA’s Alternative Display Facility (ADF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files (collectively, the
