Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission. Members must
(a) A member seeking registration as an ADF Market Participant shall:
(1) file an application with FINRA in which the member:
(A) specifies whether the member is seeking registration in Nasdaq and/or CQS securities;
(B) certifies the member's good standing with FINRA;
(C) demonstrates compliance with the net capital
By offering new ways for financial institutions to engage and interact both internally and externally, the metaverse may provide new opportunities and present novel challenges. For example, market participants have noted that the metaverse may offer new methods to engage with and educate a broader group of investors, particularly younger investors who are beginning their investing journey. The
WASHINGTON –Institutional orders routed by brokers that send a relatively high percentage of such orders through affiliated alternative trading systems (ATSs) tend to receive lower order fill rates and higher execution costs, according to a new
OCE Working Paper: Institutional Order Handling and Broker-Affiliated Trading Venues
by FINRA’s Office of the Chief
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Women’s financial influence is growing, but they may not be making the most of their increased financial power. Investing can seem intimidating, but it doesn’t need to be. Here are five ways women can take charge of their financial futures.
<p>OATS Clock Synchronization Logs – Record Keeping Requirements.</p>
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three broker-dealers - J.P. Turner & Co., of Atlanta, Park Financial Group, Inc., of Maitland, FL and Legent Clearing, LLC, of Omaha - for failing to implement reasonable anti-money laundering (AML) compliance programs, including the failure to detect, investigate and report instances of potentially suspicious transactions in low-priced stocks.
