In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 23, 2023.Please be advised that the ADF will close early on Friday, November 24, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 23, 2023. Please be advised that the ORF system will close early on Friday, November 24, 2023 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
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
1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is
The Neutral Corner Topical Index; Volume 4 - 2008; Writing a Disciplinary Referral; Dispute Resolution news; SEC Rule Filing; SEC Rule Approval; Arbitration Awards: The Offset Option; Question and Answer; Arbitrator Tip
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
1. Members must report transactions in TRACE-eligible Corporate debt 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, as described in
FINRA, you have big name institutions that have in the past been found violating regulations on how to properly mark a short as short instead of long, how to properly report information, and how to properly manage it. In a free and transparent marketplace, every institution should have their cards on the table. If they want to invest, they should report it. If they want to short, they should
There are several regulatory implications that firms may wish to consider when establishing a presence in the cloud. It is important to keep in mind that although a firm may shift its technology infrastructure to a cloud environment, all of the regulatory requirements that are applicable in an on-prem environment continue to apply. However, cloud-based applications may contain some unique
Executive 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 owed by BD and IA firms via Preliminary Statements issued
In observance of Memorial Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, May 29, 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