FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
February 13, 2007
Dear NASD Member:
Last year I sent a letter to members that highlighted new and existing regulations that were of particular significance to NASD’s examination program. The letter was designed to offer you guidance by identifying areas of potential examination focus, allowing you to enhance related supervisory and compliance procedures and systems at your firm. Because the
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
The May 18, 2015 version of the OATS Reporting Technical Specifications includes changes to support the capture of more granular information about when an order is eligible to trade. Specifically, a new Trading Session Code has been added that will identify the specific market session(s) during which an order is eligible to trade. Firms will provide this new Trading Session Code in the existing
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
