Displaying 651 - 660 of 9025 Results
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
OATS
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members
Enroll here to complete required FINRA exams, whether you are new to the industry or are seeking to broaden your career.
This section of FINRA.org is dedicated to helping investors and other FINRA constituents understand how to navigate our two Dispute Resolution Services of Arbitration and Mediation. Our goal is to provide appropriate guidance to help you resolve your dispute, as well as set realistic expectations regarding our Arbitration and Mediation processes —including timelines, fees and how to find an
On This PageOverview of Margin RequirementsExtensions of TimeInterpretations of FINRA's Margin RuleCustomer Margin Balance Reporting and Margin StatisticsPortfolio MarginCovered Agency Transaction MarginMargin Disclosure StatementsExternal ResourcesContact OGCOverview of Margin RequirementsThe terms on which FINRA member firms (brokers) can extend credit for securities transactions are
Frequently asked questions related to OATS reporting requirements to OTC equity securities.
On December 8, 2016, FINRA filed with the SEC a proposed rule change for immediate effectiveness relating to Rule 4554 reporting requirements for Alternative Trading Systems (“ATSs”). Specifically, FINRA amended Rule 4554 to require ATSs to provide additional order sequencing information on reports submitted to the Order Audit Trail System (“OATS”).
Rule 4554(b) originally required ATSs to
Small Firm Conference Call: Registration, Testing and Continuing Education Updates – Audio Recording
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by senior staff from the Office of Credentialing, Registration, Education and Disclosure to discuss updates with registration, testing and continuing education (CE).
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions. FINRA’s
Cybersecurity is a major challenge for everyone – but it can be a particularly big challenge for those in the financial industry. That’s why FINRA released a new report highlighting effective cybersecurity practices for FINRA member firms. Learn more in this episode of FINRA Unscripted.
As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA will implement this change on Monday, March 11, 2024; previously it was scheduled for February 26, 2024. Clients may continue to test in NTF through Friday, March 8, 2024.NTF: Available through Friday, March 8,