The Corporate Financing Department assists FINRA-regulated firms in complying with FINRA rules and federal securities laws by reviewing documents related to firms' capital-raising activities and arrangements. These services provide protections to investors and issuers by regulating underwriting terms and arrangements and addressing conflicts of interest when underwriters are affiliated with
Conflicts of interest represent a recurring challenge that contributes to compliance and supervisory breakdowns. These breakdowns can compromise the quality of service that firms and representatives provide to their clients. We issued the Report on Conflicts of Interest in October 2013, and FINRA continues to monitor the efforts employed by firms to identify, mitigate and manage conflicts of
In observation of Independence Day, the ORF System will be closed on Tuesday, July 4, 2023. Please be advised that the ORF system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
Normal Hours
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Tuesday, July 4, 2023. Please be advised that the TRFs will close early on Monday, July 3, 2023. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
NYSE TRF:
In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Tuesday, July 4, 2023.
Please be advised that the ADF will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
In observation of Independence Day, the TRACE system will be closed on Tuesday, July 4, 2023. Please be advised that the TRACE system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions
GUIDANCE
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Technology
Training
NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the Regulation Filing
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 24, 2022. Please be advised that the ORF system will close early on Friday, November 25, 2022. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
Normal Hours
