FINRA would like to remind member firms of their obligation to file their appropriate short interest reports by their due dates.
October 24, 2006
On September 29, 2006, NASD filed a proposed rule change (SR-NASD-2006-115) to establish a new Trade Reporting Facility in conjunction with the Boston Stock Exchange ("BSE") that would provide members another mechanism for reporting trades in exchange-listed securities effected otherwise than on an exchange.
NASD is issuing this OATS Report to inform members that,
Request Manager facilitates the electronic exchange of information between firms/individuals and FINRA. With Request Manager, which is available via the FINRA Gateway and its designated portal, firms and individuals are able to securely submit, manage and track FINRA information requests.
Resources
Request Manager User Guide
FINRA Gateway page
FINRA Publishes a Request for Information by
Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.
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FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
TO: All NASD Members
ATTENTION: Trading DepartmentsBranch Office Trading Locations
On April 1, 1982, the NASD announced the commencement of real-time transaction reporting under Schedule D of the Association's By-Laws for certain NASDAQ securities that have been designated National Market System (NMS) securities. Since inception, the Association has been monitoring transaction reporting in
TO: All NASD Members and Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
The passage of the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA" or the "Act") has brought about changes in the tax law which will have an impact on the subject matter of the qualification examinations administered by the NASD. The chart at the end of this notice lists the
