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FINRA Gateway Webinars

FINRA Gateway is designed to help you work more efficiently by streamlining your compliance functions. We are actively collecting feedback from member firms and continuing to enhance the Gateway experience with modern technology to better serve your needs. Stay tuned for potential webinars and additional resources as we expand Gateway's capabilities. 

Regulatory Notice 20-09

Summary

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

Technical Notice

Now Available - Weekly Aggregated Reports and Statistics for U.S. Treasury Securities

March 10, 2020

Background

On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting today March 10, the new TRACE Treasury aggregates are published on FINRA's website.

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