INSITE uses technology to focus FINRA regulatory oversight activities on potentially high-risk areas. INSITE includes a surveillance system which establishes a rigorous process to measure and monitor a wide range of broker/dealer activities.
In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time. As a result, effective November 30, 2023, the Canceled and As-Of Trades Report was retired from the FINRA Report Center. Any questions may be directed to Demetrios (J) Koutros, Vice President, Member Supervision Operations, Procedures
In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time. As a result, effective November 30, 2023, the Customer Debits Report was retired from the FINRA Report Center. Any questions may be directed to Demetrios (J) Koutros, Vice President, Member Supervision Operations, Procedures
Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
Si bien FINRA nunca le pedirá dinero, existen estafadores que podrían intentar convencerle de lo contrario. Estos estafadores financieros se hacen pasar por reguladores, solicitando cuotas para transferir fondos u ofreciendo falsas "garantías" de inversión que solo servirán para separarle de sus ahorros.Las comunicaciones de estos estafadores pueden ser convincentes, pero no muerda el
SummaryFINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow, which the SEC has defined very broadly to refer to a wide range of practices including monetary payments and discounts, rebates, or other fee reductions or credits. Under these rules and guidance,
SummaryIn light of the increasingly automated markets for NMS stocks, FINRA is issuing this Notice to remind member firms of their obligation to execute marketable customer orders fully and promptly. We also are reminding firms of their obligation to ensure that their supervisory systems are reasonably designed to achieve compliance with this obligation.Questions concerning this Notice should be
Gen Z investors are a growing force of digitally savvy stakeholders who are making their entrance into the financial markets. They are attracted to investing by the wide dissemination of financial information on social media and other online platforms; the increasing ability to invest with small amounts, often on investing apps designed for their generation; the prevalence and popularity of cryptocurrency; the fear of missing out (FOMO) on a key opportunity to make money; and the substantial influence and assistance from their parents and other family members.
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its specifications.
The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing.
