Regulatory Notice 19-19

Summary

FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.

All questions regarding CAT registration should be directed to the FINRA CAT Helpdesk at (888) 696-3348.

SR-FINRA-2019-016

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to July 20, 2020 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.

Technical Notice

Holiday Reminder Regarding ORF Market Data

November 19, 2020

observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 26, 2020. Please be advised that the ORF system will close early on Friday, November 27, 2020 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Market Session Normal Hours Modified Hours for Friday, November 27, 2020

Pre Market Session

RM&AA

Registered Merger & Acquisition Advisor (RM&AA)

Designation Essentials
Status Status cannot be verified. Issuing organization appears to be defunct.
Designation Notes

Designation previously issued by Designation Depot
Issuing Organization
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
Verification and Complaints
Online Designation Resource
Investor Complaint Process
Published List of Disciplined Designees

SR-FINRA-2019-002

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit member alternative trading systems (ATSs) and ATS subscribers additional flexibility in transitioning to disaggregated reporting by April 12, 2019.

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