Regulatory Notice 20-26

Summary

FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice provides a summary of the results of the survey.

Questions concerning this Notice should be directed to:

Online Testing Technical Discussion: ProProctor Installation

Join FINRA and Prometric technologists for a discussion about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, presenters will share resources and take questions from attendees.

Note: These webinars are intended for Information Technology staff with firms that plan to pursue remote testing on company-issued equipment.

2018057247201 Frederick Scott Levine CRD 1765119 AWC sl (2020-1599092378011).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Scott Levine, Respondent General Securities Representative CRD No. 1765119 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Frederick Scott Levine submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

FINRA TRAQS Errors

August 03, 2020

FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website.  Closing all browser sessions and opening a new session will normally alleviate this problem. 

Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the issue can be escalated to engineering. 

FINRA will continue to track this issue and inform clients of developments.  

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