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Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small 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
On Wednesday, January 27, 2021, starting at 2:40 p.m. ET, the FINRA/NYSE TRF experienced a technical issue resulting in delays when submitting trade information to DTCC and FINRA. Trade reports to the Consolidated Tape were not impacted, and all trades were submitted to clearing by 8:30 p.m. ET on January 27, 2021.
FINRA is working with the NYSE TRF to receive any trades that were missing from
Read CEO Robert Cook’s email to firms describing outcomes from the December 2020 FINRA Board of Governors Meeting.
FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website. Closing all browser sessions and opening a new session will normally alleviate this problem.
Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the issue can be
I believe absolutely that 1- Finra should publish on the FINRA website short interest data for all equity securities (listed and unlisted). 2-potential short interest enhancements discussed above would , YES, be equally beneficial for both OTC equity securities and exchange-listed equity securities. In all I have discovered from public information made readily available on the sub Reddit /
The purpose of this Election Notice is to announce the nominees for the District Committees and the District Nominating Committees.1
The individuals identified in this Notice have been nominated for the District Committees and District Nominating Committees, for terms beginning in June 2008. The term of office for District Committee members is three years, unless an individual was selected to
Continuing Education
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Continuing EducationFirm Element
Suggested Routing
Compliance
Continuing Education
Legal
Registration
Senior Management
PLEASE NOTE: On July 30, 2007, the Financial Industry Regulatory Authority, FINRA, began operations. FINRA was formed through the consolidation of NASD and the enforcement, member regulation and
Beginning May 15, 2023, as described in Regulatory Notice 22-12, members must report transactions in TRACE Corporate securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation.
The TRAQS User Guide, TRACE FIX, and TRACE ATDS,
WASHINGTON – On many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education Foundation’s nationwide, triennial study, published today. However, the research also shows that Americans’ financial wellbeing remains uneven across different demographic groups.
“Our study adds to a growing