The data elements specified in Rule 7330(d) are critical to FINRA’s compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7330(d) information accurately and completely.
Adopted by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Selected Notice: 08-57.
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants
February 10, 2004
NASD member firms may contractually arrange for another member firm or non-member entity to transmit order events to OATS on their behalf. Such arrangements must clearly specify the responsibilities of each party with respect to OATS reporting.
As required under NASD Rule 6955(c), Reporting Members using a third party to record and transmit their OATS data must have a
The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of the rules on financial exploitation of specified adults, a regulatory roundtable,
(a) Before First Hearing Session Begins
Before the first hearing session begins, the Director may remove an arbitrator for conflict of interest or bias, either upon request of a party or on the Director's own initiative.
(1) The Director will grant a party's request to remove an arbitrator if it is reasonable to infer, based on information known at the time of the request,
(a) A mediator may be selected:
(1) By the parties from a list supplied by the Director;
(2) With the Director's approval upon receipt of the parties' joint request, from a list or other source the parties choose; or
(3) By the Director if the parties do not select a mediator after submitting a matter to mediation.
(b) For any mediator assigned or selected from a list provided by
The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Beginning Jan. 1, 2023, FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold.
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Monday, June 19, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
SEC Approves Extension to IM-10100 Pilot
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Registered Representatives Registered Principals Senior Management
Arbitration Associated Persons California Disclosure Standards Members
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved an extension to a
FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
