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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general knowledge when taking exams to register in multiple categories, and
Make it
December 4, 2000Section 4.1.4.3 of the OATS Reporting Technical Specifications, entitled "Order Routing to a Nasdaq Execution System," describes the requirements for recording and reporting the routing of orders to SOES and SelectNet. NASD Regulation would like to reiterate two requirements in this section.First, Section 4.1.4.3 requires that members must report "…the MPID of the
February 1, 2001With the February 1, 2001 implementation of the Riskless Principal Trade Reporting Rules, many firms have asked how to report riskless principal executions to OATS.If a firm either does not report a trade with a customer to ACT (NASD Notice to Members 99-65) or submits a "non-tape, non-clearing report" or a "clearing-only" report (NASD Notice to Members 00-79)
Securities Regulators Around the World Are Shining a Spotlight on Investor Education and Protection
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced its participation in the first World Investor Week, Oct. 2-8, to increase awareness of investor education and protection tools and information.
Throughout the week, FINRA and other securities regulators and
April 19, 2001In the February 1, 2001 edition of The OATS Report, the article entitled "Reporting Riskless Principal Executions to OATS" advised firms to use a Reporting Exception Code of "M" prior to the May 7 OATS release and "R" after the new release, whether using the Original Approach to Riskless Principal Trade Reporting (NASD Notice to Members 99-65) or the
June 29, 2001
Below is a list of fields and accepted values that are reported to OATS on the New Order Reports. Please compare the accepted values listed for the fields below with your traders and technical staff to verify that your procedures and systems comply with the information provided below.
Received Method Codes
Indicate whether the order was received electronically or non-
March 15, 2006
New Market Center Code Effective June 1, 2006
Reporting Requirements for Orders Transmitted Between NASD-only and NASDAQ-only members
On January 13, 2006, the Securities and Exchange Commission (SEC) approved NASDAQ's application to register as a national securities exchange.1 NASDAQ is currently working with the SEC to determine the operational date - the date on which
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a Regulatory Notice requesting comment on changes to the expungement process.
FINRA proposes to establish a roster of arbitrators with additional training and specific backgrounds or experience from which a panel would be selected to decide requests for expungement of customer dispute information in settled cases and
Thursday, December 14, 2017
4:15 p.m. – 5:00 p.m. ET
FINRA is hosting a phone-in workshop and WebEx presentation to introduce the Cross Market Equities Supervision: Potential ATS Cross Manipulation and Cross Market Equities Supervision: Potential Auto Execution Manipulation Report Cards. These two new Report Cards are anticipated to become available on the FINRA Report Center in early January.
January 18, 2006
NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957.
On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
