Firms submit a FINRA New Issue Form in order to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request). The Issue Management System replaces the existing FINRA New Issue Form and will allow firms to:
submit new issues;
save draft submissions;
make changes and updates to previously submitted issues;
submit new
1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
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Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article III, Section 27(g)(2) and a new Paragraph (g)(3) of the Rules of Fair Practice that would codify certain interpretations by the NASD regarding the
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
Thank you for allowing the opportunity to post feedback and make recommendations to make the system fair for all traders. I feel that short interest should be reported intraday. If a stock price can be updated within milliseconds then this should be possible too. I also feel that large institutions that have over 100,000 of any stock should have to report their short positions pre and post market
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
The MSRB Due Diligence Report Card is a monthly status report to help firms monitor their issuances being brought to market in order to support firm's due diligence efforts. The report shows how many total issuances have been brought to market and which of those had issuers with previous issuances in the market that are lacking current audited financial filings (LCF) on EMMA. If any of the
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The TRAQS issue preventing users from accessing and using the site has been resolved. TRAQS users should log out of the current session and log back in to reset and have complete functional capabilities. If clients have any questions regarding these events please contact FINRA Market Operations at (866) 776-0800.
Posted: 9:10 a.m.
FINRA has observed a number of TRACE and ORF
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Senior Management
Advertising
Corporate Finance
Legal & Compliance
Operations
Registration
Trading
Executive Summary
On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (OATSSM).1 The new
