On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
Effective December 31, 2007, new NASD Rule 1160 (Contact Information Requirements) streamlines the review and verification of contact information and eliminates the requirement that member firms review and update certain designated contact information on a quarterly basis. The new rule requires firms to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information.
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
To whom it may concern at FINRA, I am not a very eloquent person, so please note that I have taken bits and pieces of comments and copy/pasted them. Just because I have not articulated these thoughts myself, does not mean that I am any less passionate about the proposed rule changes. Since beginning my journey as a retail investor and learning more about our financial systems I have lost complete
INFORMATIONAL
District Committees And District Nominating Committees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
District Committee Membership
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
The FINRA Investor Education Foundation (FINRA Foundation) today awarded Doug Shadel, Ph.D., the 2023 Ketchum Prize—its highest honor—in recognition of his outstanding service and research on protecting consumers, particularly vulnerable Americans.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and United Way Worldwide (UWW) have announced over $1.8 million in grants to 15 recipients as part of the Financial Education in Your Community initiative.
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and certain
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
During this session, FINRA staff discuss the migration of examination by business model including the firm grouping structure, how the Risk Monitoring and Examination teams coordinate, and what firms can expect going forward.
