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(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraph (a)(2). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other extraordinary
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.
Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
As part of Transparency Services improvement initiatives, beginning on December 5, 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system.
FINRA will offer ORF Clearing function testing in the test system (NTF) beginning Monday, October 31, 2022. This testing will allow ORF clients to view clearing transactions in TRAQS as well as confirming
(a) Recording and Reporting Industry Member Data
(1) Subject to paragraph (a)(3) below, each Industry Member shall record and electronically report to the Central Repository the following details for each order and each Reportable Event, as applicable ("Recorded Industry Member Data") in the manner prescribed by the Operating Committee pursuant to the CAT NMS Plan:
(A) for original
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available with the same log in credentials used to access the FINRA New Issue Form today.
FINRA has now included a training video to assist clients in the transition to the new platform.
To find more
While short sales can be an important market mechanic to send signals to protect investors from corrupt or inept corporate leadership, hidden short sales and hidden synthetic short sales work against a free and fair marketplace. If institutional and "big money" investors detect reasons to believe that the future success of a company is unlikely, hiding their short positions at best
Various updates.
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
I am very concerned that there is talk about us having more restrictions on what we can invest in not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I am able to go online and read the information to decided what to buy and not have to go through any special