Neutral Corner - Volume 1—2019
Mission Statement
Discovery Abuses Can Be Costly (By David Carey, Associate Director, FINRA Case Administration)
Parties May Request Additional Information from Arbitrators Participating in Mock Arbitrations
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal Enhancement
Arbitrator and Mediator
FINRA is issuing this OATS Report to describe members' OATS Exchange Route Matching (ERM) obligations when routing to a national securities exchange.
FINRA is migrating the Alternative Display Facility (ADF) to a new technology platform, and has published new FIX protocol specifications for interfacing with the system.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Guidance on FOCUS Reporting for Operating Leases
In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
