On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
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.
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.
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
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
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
