FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
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Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result of
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Covered Agency Transactions
Regulatory Notice
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Compliance
Legal
Margin Department
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Regulatory Reporting
Risk Management
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Covered Agency Transactions
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Referenced Rules & Notices
FINRA Rule 4210
Regulatory Notice 16-31
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of January 21, 2019 (Tier 1). The issue has now been resolved and all files and data have been published.
If you have any questions, please contact [email protected].
Pursuant to the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) (see Section VI(A)(1)), transactions that both (1) do not update the last sale price (except if solely because the transaction was reported late) and (2) are excepted or exempt from the SEC's trade-through rule (Reg NMS Rule 611) can be executed outside the price bands.
Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
Regulatory and Technical notices related to ATS
