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
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 NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
FINRA Rule 4111(b) requires the Department of Member Supervision (Department) to calculate annually a member firm’s "Preliminary Identification Metrics" to determine whether the firm meets the "Preliminary Criteria for Identification."1 A key driver of that is whether a member firm’s Preliminary Identification Metrics meet quantitative, risk-based "Preliminary
Important Information Regarding Annual Audited Report
The Neutral Corner—Volume 2, 2020
Mission Statement
FINRA Arbitrators Successfully Conduct Virtual Hearings (by Nora Sassounian, Case Administrator, FINRA West Regional Office)
Anatomy of a Zoom Videoconference Mediation (by E. Scott Douglas, FINRA Mediator)
FINRA Dispute Resolution Services and FINRA News
Name Change to FINRA Dispute Resolution Services
COVID-19 Hearing Postponements and
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
