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FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Agenda
View the brochure for the 2021 Small Firm Virtual Conference.
Session Recordings
Recordings of sessions are available to FINRA member firms and CRCP® graduates.
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
As of the September 18, 1999 release of OATS, firms may view online and/or download Execution and Combined Order/Execution Reports that do not match trade reports submitted to ACT.
SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 9, 1992, the NASD® submitted rule proposals to the Securities and Exchange Commission (SEC) regarding quotation and transaction reporting requirements for members trading high-
TO: All NASD Members and Other Interested Persons
On January 20, 1986, the NASD issued Notice to Members 86-4, announcing the Securities and Exchange Commission's approval of new Article III, Section 41 of the NASD Rules of Fair Practice. The new rule requires all NASD members to maintain a record of their total "short" positions in NASDAQ securities in all customer and
University of Pennsylvania Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.
Olivia Mitchell
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarded Dr. Olivia S. Mitchell the 2019 Ketchum Prize—its highest honor—for her extraordinary research on pensions and retirement income and her
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to schedule
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
FinPro