Washington - FINRA commends Georgetown Law Professor Chris Brummer and other National Adjudicatory Council (NAC) members for their ongoing contributions to FINRA's mission despite online attacks.
Prof. Brummer and several other NAC members and FINRA staff have been the target of a number of disparaging online attacks. The attacks followed a decision by a NAC appellate panel, which upheld a
FINRA is issuing this OATS Report to describe the new reverse linkage process and feedback for instances where OATS was unable to find the related Route Report or Execution Report for an OATS new order event, exchange order, or TRF/ADF/ORF trade report.
Notice of Annual Meeting of FINRA Firms and Proxy
Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official (as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. Both firms were cited for the weak supervisory systems by FINRA examination teams in
Distributed Denial of Service (DDoS) Attacks on Member Firms
