June 27, 2003NASD is publishing this article to provide guidance to members regarding their Order Audit Trail System (OATS) reporting requirements when using more than one market participant identifier (MPID) to display or execute OATS reportable orders.1 If a firm elects to use more than one MPID, the firm must continue to submit its OATS data to NASD in the format prescribed in both the OATS
The Outside Business Activities and Private Securities Transactions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
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INFORMATIONAL
District Elections
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The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
On March 16, 2023, FINRA published responses to frequently asked questions concerning the MMTLP corporate action and trading halt (March 16, 2023, MMTLP FAQ). In that corporate action, the issuer decided that MMTLP shares would be cancelled and investors in those shares would receive a distribution of shares of Next Bridge Hydrocarbons, Inc. (Next Bridge). FINRA has continued to receive questions regarding the circumstances surrounding these events. In particular, some have questioned the level of short selling in MMTLP and suggested that there was a substantial amount of “counterfeit shares.” Although it is not clear what is meant by the term “counterfeit shares,” it has been used in social media when discussing “naked” short selling in a security and failures-to-deliver (FTDs). Some investors have expressed concern that, even though their brokerage account statements include shares of Next Bridge in their account, these shares may not have actually been delivered to their broker-dealer.
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Regulatory Element Requirement Windows
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NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request
FINRA is warning member firms of a new imposter website www.finnra.org (please notice the extra “n” in the domain name).
One portion of the website contains a link to a registration site that is not legitimate (see images, below).
In addition, it is possible bad actors could leverage the domain to send fake emails including those with imbedded phishing links or attachments containing malware.
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NASD Regulation, Inc
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
