Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make one type of files available: Daily Short Sale Volume Files.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2018.
In observance of Independence Day, the ADF System will be closed on Wednesday, July 4, 2018.
Additionally, please be advised that the ADF system will close early on Tuesday, July 3, 2018. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Market
Neutral Corner – Volume 2 – 2018
Mission Statement
Developing an Effective Med-Arb/Arb-Med Process (By Edna Sussman, FINRA Arbitrator and Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Portal Reminder
Practising Law Institute (PLI) Securities Arbitration 2018: September 26, 2018
SEC Rule Approval
Special Proceeding for
Atlanta, GA
July 12, 2018
Agenda
8:00 a.m. – 8:30 a.m.
Registration
Continental Breakfast
8:30 a.m. – 8:45 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 11:00 a.m.
Session 1 – Supervision
Discuss highlights of the consolidated supervision rules
Discuss FINRA Rule 3110, including
Monthly Disciplinary Actions June 2018
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
eFocus Filing Transmission
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Upcoming FINRA Board of Governors Election
