In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:Monday, December 25, 2023 ClosedMonday, January 1, 2024  
ACTION REQUESTED
Member Facilitation Of Lending Between Customers
Comment Period Expires: February 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Individual Investor
Legal & Compliance
Registered Representatives
Senior Management
Lending Arrangements
Margin
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National Association of
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of January 5, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter January 4
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the
Read CEO Robert Cook’s email to firms describing outcomes from the December 2020 FINRA Board of Governors Meeting.
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Financial Industry Networking Directory (FIND™) Interest Form for Firms let's firms subscribe to The Financial Industry Networking Directory (FIND)™, a complementary FINRA subscription service designed to connect individuals who are enrolled to take the Security Industry Essentials® (SIE®) exam with firms that are recruiting for employment and internship opportunities.
Summary
FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.
Questions concerning this Notice should be directed to:
Michael Garawski, Associate General
