SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of
The parties must cooperate to the fullest extent practicable in the exchange of documents and information to expedite the arbitration.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.
The parties must cooperate to the fullest extent practicable in the exchange of documents and information to expedite the arbitration.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
On February 27, 2014, the SEC approved FINRA's proposed rule filing SR-FINRA-2013-050. The approved amendment to the OATS rules requires firms to express time in milliseconds when reporting order information to OATS if the firm's systems capture time in milliseconds, effective April 7, 2014.
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files.
By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
I'm a retail trader. I'm glad strongly in favor of enhanced short and FTD reporting requirements. Knowing the true short interest and quantity of FTDs on a security are important metrics for me when I'm evaluating an investment. There are currently too many ways for large players in the system to obfuscate this information. Please do everything in your power to ensure that true
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2020 FINRA Cybersecurity Conference, and receive access to all conference materials. View the conference brochure for a list of sessions and their descriptions.
Register to View the Sessions
FINRA Member Firms
CRCP Graduates
For registration or
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
