FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Why still, is there any reason for trades to be not reportable? Secrecy within trading needs to stop. There needs to be more transparency from all parties involved. “...considering including in FINRA-disseminated short interest data, where available the TSO and public float for securities?” What do you mean “where available”? You are the Financial Regulatory Authority, you should make that
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that Susan Merrill, who has headed Enforcement at FINRA and one of its predecessor organizations for more than five years, is stepping down to return to private practice.
Washington, DC - The National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority (FINRA) issued a ruling today dismissing charges that Kenneth Pasternak, former CEO of Knight Securities, L.P., and John Leighton, former head of the firm's Institutional Sales Desk, were responsible for supervisory failures in connection with alleged fraudulent sales to institutional customers.
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will be implemented in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced. Except for the timestamp changes listed below, all ORF trade reporting
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.
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced a new financial literacy outreach program to promote financial literacy to elementary school students.
The information on this page only applies to organizations without Super Account Administrators (SAAs). See the User Accounts Certification Process for Super Account Administrators (SAA) page for information about the certification process for broker-dealers, funding portals, investment advisers and US-based regulators.When is the 2024 User Accounts Certification Period?The 2024 User
Washington, DC – The Financial Industry Regulatory Authority (FINRA) announced today that two new large-firm representatives have been elected to its Board of Governors, while a third new member has been appointed to its Independent Dealer/Insurance Affiliate seat.
