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Summary
Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) (collectively referred to as the “OATS Rules”). FINRA has determined that the accuracy and reliability of
TO: All NASD Members and Other Interested Persons
In 1981, the Association's Corporate Financing Committee undertook a study of total underwriting compensation for public offerings of corporate securities in connection with the development of a new corporate financing rule. The proposed new Corporate Financing Rule was published for comment on April 15, 1981 (Notice to Members 81-16). In
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) Each member and member organization shall submit to the Exchange at such times as may be designated in such form and within such time period as may be prescribed such information as the Exchange deems
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
Frequently asked questions and answers
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against McGinn, Smith & Co., Inc., of Albany, NY, and its President and part owner, David L. Smith, charging them with securities fraud in the sale of tens of millions of dollars in unregistered securities.
FINRA Continues Nationwide Initiative Investigating Broker-Dealers Engaged in Private Placements