FINRA's Advertising Regulation Department ensures broker-dealers' communications are fair, balanced and compliant with FINRA, SEC, MSRB and SIPC rules through filing reviews, guidance and outreach programs.
(a) No member shall execute or cause to be executed or participate in an account for which there are executed purchases of any NMS stock as defined in Rule 600(b) of SEC Regulation NMS ("designated security") at successively higher prices, or sales of any such security at successively lower prices, for the purpose of creating or inducing a false, misleading or artificial appearance of
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
The Daily Short Sale Volume Files provide aggregated volume by security for all short sale trades executed and reported to a <a href="/filing-reporting/trade-reporting-facility-trf">TRF</a>, the <a href="/filing-reporting/alternative-display-facililty-adf">ADF</a>, or the <a href="/filing-reporting/over-the-counter-reporting-facility-orf">ORF</a> during normal market hours for public dissemination purposes (i.e., media-reported trades).
From cybersecurity to new product review, the FINRA Peer-2-Peer Compliance Library is a one-stop source for templates, checklists and other materials provided by FINRA-registered firms as supplemental resources at FINRA events. Investment professionals can browse the library after logging in with FINRA Gateway credentials. If you have feedback on the Peer-2-Peer Compliance Library, send an email
FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. We also provide tools and calculators to help you make informed financial decisions.
As the Vice President and Deputy Chief Economist, Ms. Walsh is responsible for management of national strategic and tactical initiatives by providing high quality research, analysis and advice on the economics of securities regulation and policy in support of the Office of the Chief Economist (OCE) and FINRA’s mission. The work product informs current rulemaking initiatives, reviews of existing
Important Reg T Extension Request System Announcement
Many firms that file extensions via batch processing have been experiencing a large number of 'REJECTED' extensions with the following error message; "Original Extension Request not found. Secondary request rejected".
The FINRA Disciplinary Actions Online system provides the general public with access to FINRA Disciplinary Actions ("Actions").
