February 12, 2002When a firm electronically routes an order to another firm, the routing firm must pass a Routed Order ID to the firm receiving the order. As defined in the OATS Reporting Technical Specifications, the Routed Order ID is an identifier assigned to an order by the order routing firm when the order is routed. It is the Receiving firm's responsibility to identify, record and
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure. Specifically, the proposed rule change would amend the General Standards, the
The Special Investigations Unit (SIU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is bringing to your attention some additional Russia-related sanctions developments. Please note that these are in addition to those detailed in FINRA Regulatory Notice 22-06.
On February 26, 2022 the White House released a Joint Statement on Further
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
For the period of 2/1/2025 through 2/28/2025AACANTHUS U.S. LIACANTHUS U.S. LIMITED10-12 BLANDFORD STREET, LONDON W1U 4AZ UNITED KINGDOMADMITTEDAIRLINK MARKETS,AIRLINK MARKETS, LLCISSAQUAH, WA, UNITED STATESEXPELLED PER RULE 9552 - FAILED TO FILE ITS QUARTERLY FOCUS REPORTALLEGHENY INVESTALLEGHENY INVESTMENTS, LTD.PITTSBURGH, PA, UNITED STATESRESIGNEDALMAX FINANCIALALMAX FINANCIAL
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.
Worldwide, cloud computing has enjoyed rapid
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
