Displaying 851 - 860 of 34823 Results
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
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
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
Online shopping can be a great way to snag deals and comparison shop. But it is not without its perils. Check out these tips to stay safe as you shop.
FINRA Rule 7470 contains a provision that permits FINRA to grant exemptive relief from the OATS reporting and recording requirements for manual orders in certain circumstances, for example, where reporting of such information would be unduly burdensome for the member or where temporary relief from the rules would permit the member to avoid unnecessary expense or hardship (in the form of additional time to achieve compliance).
The TRACE Reporting section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
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FINRA observed some instances in which firms have had difficulty meeting various aspects of their obligations under Regulation SHO and relevant FINRA rules:
Supervision of Third-Party Order Management Systems – FINRA found that some firms may be overly reliant upon a third-party order management system for supervisory and compliance functions. FINRA noted inadequate levels of firm
The Order Capacity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.