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SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
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
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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general knowledge when taking exams to register in multiple categories, and
Make it
FINRA is issuing this OATS Report to describe the new reverse linkage process and feedback for instances where OATS was unable to find the related Route Report or Execution Report for an OATS new order event, exchange order, or TRF/ADF/ORF trade report.
On June 30th of this year, a leap second will be added after 23:59:59 GMT.
For Your Information
National Association of Securities Dealers, Inc.
March 1989
Series 7 Test Changes For March; Permanent Site Change in Anchorage
Memphis Test Site for March
The March 18, 1989, Series 7 exam in Memphis will be held at:
Sheraton Hotel300 N. 2nd StreetMemphis, TN
Atlanta Test Site for March
The March 18, 1989, Series 7 exam in Atlanta will be held at:
Georgia
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders