INFORMATIONAL
Continuing Education — In-Firm Delivery Of The Regulatory Element
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
NASD Membership and Registration Rule 1120
In-Firm
Summary
FINRA is issuing this Notice to inform members that it is discontinuing collection of data under Rule 4540. The data collected under Rule 4540 is used in the Integrated National Surveillance and Information Technology Enhancements program (INSITE). The decision to discontinue the collection of data under Rule 4540 at this time is based on the availability of alternative sources of data
The premise of having public securities is the amount of available information to make an intelligent and informed decision. Leveraged ETFs come with enough information. There are stocks from other countries listed that do not adhere to standard accounting practices or disclosures. Why target Leveraged ETFs and not the other investments?
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).
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Recently the National Association of Securities Dealers, Inc. (NASD®) announced that selected NASD member firms must participate in decimalization testing.
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
