On Thursday, April 21, 2016, FINRA will hold an industry call and WebEx presentation to discuss the Tick Size Pilot Data Collection efforts.
Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called “virtual currencies,” “coins,” and “tokens.” A particular crypto asset may or may not meet definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
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Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
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OATS
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members
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
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
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
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
Enroll here to complete required FINRA exams, whether you are new to the industry or are seeking to broaden your career.
Restitution Ordered; Firm Ordered to Send Corrective Disclosures to Affected Plan Participants
WASHINGTON — FINRA announced today that it has fined AXA Advisors, LLC (AXA) $600,000 and ordered the firm to pay approximately $172,000 in restitution to affected 401(k) retirement plan participants for distributing materials that negligently misrepresented that certain bond funds offered for 401(k)
