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FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
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Rule Change Expands Entry Opportunities to the Securities Industry
WASHINGTON — The U.S. Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the securities industry.
FINRA today issued Regulatory Notice 17-30
November 2, 1999The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
October 5, 2000The purpose of this article is to alert NASD members and service bureaus—the providers of the data—that it has come to the attention of the staff that some member firms are incorrectly reporting information to the NASD Order Audit Trail System.Limit Order Display IndicatorThe Limit Order Display Indicator (LODI) is to be used for limit orders and stop limit orders only, and should
October 5, 2000NASD member firms receiving orders in Nasdaq securities during after-hours sessions are required to submit those orders to the Order Audit Trail System (OATS) per NASD Rules 6950-6957, as they would report any other order in Nasdaq securities. The only difference is that after-hours orders are considered as received on the following OATS Business Day and, therefore, are not
