All FINRA, NASDAQ, and NASDAQ BX members that meet the definition of a Reporting Member pursuant to FINRA Rule 7410 and receive and/or handle orders for OATS reportablesecurities must register for the Order Audit Trail System (OATS).
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
FINRA Updates Supplemental Statement of Income
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
O'TOOLE INSURANCE & SECURITIES14-30 COLLEGE POINT BLVD, COLLEGE POINT, NY 11356OAK HILLS SECURITIES, INC.121 NE 50TH, OKLAHOMA CITY, OK 73105OAK TREE SECURITIES, INC.4049 FIRST STREET, SUITE 129, LIVERMORE, CA 94551-4949OAKLINS DP LLC90 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10016OAKPOINT SOLUTIONS, LLC100 SOUTH ASHLEY DRIVE, SUITE 1130, TAMPA, FL 33602OAKWOOD CAPITAL SECURITIES, INC.
The deadline for transitioning from Basic Auth to OAuth 2.0 for fileX APIs has now been extended to Feb 28, 2022. The transition from Basic Auth to OAuth 2.0 method for authentication is necessary because Basic Auth is a less secure authentication mechanism, which could potentially expose long-lasting credentials. OAuth 2.0 replaces these long-lasting credentials with limited life span tokens,
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
The Neutral Corner—Volume 3, 2020
Mission Statement
Maintaining Arbitrator Neutrality in the Age of Social Media (by Joyce Park, FINRA Corporate Intern)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Hearing Postponements and Virtual Hearings
Virtual Arbitration Hearing Statistics
Arbitration Case Filings and Trends
Register for the DR Portal Today
Portal Enhancement: New
SUGGESTED ROUTING
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Executive Summary
The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred action on a
(a) Hearing Panel Consideration
(1) Appointment of Hearing Panel
When the disqualified member, sponsoring firm, or applicant requests a hearing, the National Adjudicatory Council or the Review Subcommittee shall appoint a Hearing Panel composed of two or more members, who shall be current or former members of the National Adjudicatory Council or the Statutory Disqualification Committee or former
