2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Comment Period Expires July 30, 1999
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FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
OTC Equity Trading and Reporting in the Event of Systems Issues
I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today on the important issues of how markets and trading have evolved, and how we can enhance the information regulators receive to ensure market integrity and the protection of investors.
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces, and for allowing us to submit this statement for the record.
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Remarks From FINRA Fixed Income Conference
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
