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FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.
First Disciplinary Action by FINRA Involving Cryptocurrencies
WASHINGTON – FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. This case represents FINRA’s first disciplinary action involving cryptocurrencies.
In the
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration
WASHINGTON – FINRA today released a
2018 RegTech Report
outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review
Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and
Beginning Monday, September 24, 2018, FINRA will add a new Daily Short Sale Volume File to its TRF – Regulation SHO data page. This file will provide aggregate daily short sale volume data by security that has been reported to the new FINRA/Nasdaq TRF Chicago.
FINRA will also begin publishing a Monthly Short Sale Transaction File for NMS stocks reported to the FINRA/Nasdaq TRF Chicago. The
Restructured Qualification Examinations and Related Examination Fees
WASHINGTON – The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons.
The CE Council—which is composed of representatives of the securities industry and securities industry self-regulatory organizations (SROs), including FINRA—develops uniform continuing
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches