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FINRA’s legacy file transfer service (filetransfer.finra.org) will be shut down on 7/1/2020. By now, all FINRA applications file transfers that were using the legacy service should have migrated to fileX file transfer service. Details about fileX service and user guide can be found on https://www.finra.org/filing-reporting/data-transfer-tools/fileX.
Please contact FINRA Support Center at (800)
Year 2000 Update
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 15, 1986, 33 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,457. These 33 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved service charges for SelectNetSM and the Small Order Execution System (SOES). The fees include a $25 monthly emergency market conditions service charge for each Nasdaq
Hackathons aren’t new. But what about a Buildathon? On this episode, we learn about a unique collaboration between FINRA, the private sector and academia that challenged some of the best technology students to solve common problems faced by everyday investors.
Summary
FINRA has amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same timestamp granularity that they use when reporting to the Consolidated Audit Trail (CAT). Once the amendments are effective, firms that report time on CAT order execution events in increments finer than milliseconds
WASHINGTON—FINRA announced today that it has fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of nine years.
Reg SHO is intended to address concerns regarding persistent failures to deliver and potentially abusive “naked” short selling (the sale of securities that an investor does not own or has not borrowed). The rule
The Manipulative Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Regulator’s First Enforcement Actions for Online Cheating
WASHINGTON — FINRA announced today that it has barred Brandon Autiero of New Jersey and Harris Kausar of New York from the securities industry for cheating during qualification examinations administered online. The enforcement actions are FINRA’s first in connection with cheating on remote exams.
"Test cheaters are on notice:
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek