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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
Whitepaper on Artificial Intelligence (AI) in the Securities Industry
Submission of PAIB Computation in FOCUS Filings
Beginning with the June 2002 FOCUS Report, members that hold assets of other member firms and compute a PAIB Reserve with respect to such assets will need to include the PAIB Reserve computation with their regular FOCUS filing. The PAIB Reserve computation will be included as page 9B in the Part II FOCUS filing.
The PAIB Reserve
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
Section 1 of Schedule A to NASD By-Laws
Trading Activity Fee
Executive Summary
On October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the
Important Information Regarding Annual Audited Report
Under Securities and Exchange Commission (SEC) Rule 17a-5, NASD members must file with NASD an Annual Audited Report not more than 60-calendar days after the date selected for their fiscal year end.
For the convenience of member firms, NASD has posted information to the Regulation section of the NASD Web Site listing essential information
(a) Briefs; Reply Briefs; Requirements
Parties may file briefs in connection with proceedings governed by the Rule 9300 Series. Briefs shall be confined to the particular matters at issue. An exception to findings, conclusions, or sanctions shall be supported by citation to the relevant portions of the record, including references to specific pages relied upon, and by concise argument,
(a) Content and Timing of Requests
A Respondent who requests that FINRA invoke Rule 8210 to compel the production of Documents or testimony at the hearing shall do so in writing and serve copies on all Parties. Such request shall: be submitted to the Hearing Officer no later than 21 days before the scheduled hearing date; describe with specificity the Documents, the category or type of
(a) Standards of Commercial Honor and Principles of Trade
A funding portal member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.
(b) Use of Manipulative, Deceptive or Other Fraudulent Devices
No funding portal member shall effect any transaction in, or induce the purchase or sale of, any security by
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their
