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Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $324,125 to the University of Central Florida to analyze how well investors understand the disclosure information presented with financial products—and how to make that information more meaningful to both retail and institutional investors.Formerly known as the NASD Investor Education Foundation, the FINRA Investor
Scottsdale, AZ — Financial Industry Regulatory Authority (FINRA) CEO Mary Schapiro today announced a new, voluntary emergency planning initiative aimed at helping small firms in times of crisis - the Small Firm Emergency Partner Program, which was developed in consultation with an industry working group and the North American Securities Administrators Association (NASAA). The program is designed
Scottsdale, AZ — The Financial Industry Regulatory Authority (FINRA) announced today that registered personnel and other frontline staff now can learn about their compliance obligations when working with senior customers through the latest in FINRA's series of free, instructional webcasts.
The interaction of securities industry professionals and the growing senior population raises
Scottsdale, AZ — The Financial Industry Regulatory Authority (FINRA) today announced the activation of the FINRA Firm Gateway - a comprehensive, web-based suite of compliance applications that makes it easier for registered firms to meet their compliance and regulatory reporting requirements.With a simple, single point of access through the dedicated Firm Gateway section of www.finra.org, the 5,
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced a settlement with Morgan Stanley & Co. to resolve charges that the firm's former affiliate, Morgan Stanley DW, Inc. (MSDW), failed on numerous occasions to provide emails to claimants in arbitration proceedings as well as to regulators - while representing that the destruction of the firm's
New FINRA360 Initiative Improves Data Quality for Regulators and Investors, and Lowers Firm Compliance Risks and Costs
WASHINGTON—FINRA is launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. Beginning on July 9, FINRA will perform a public records review within 15 calendar days after a firm applies to register
Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each filter section. Previously, users could
FINRA Rule 4111 establishes an annual process by which FINRA designates as “Restricted Firms” member firms that present a high degree of risk to the investing public, based on numeric thresholds of firm-level and individual-level disclosure events.
Beginning Monday, August 14, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
TDDS 2.1 subscribers should ensure their systems can accept the higher data rates. The TDDS 2.1 data rate change does not impact any of the ORF reporting applications (FIX and TRAQS