Guidance
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November 2017
The Trading & Financial Compliance Examinations (TFCE) section of the Market Regulation Department (Market Regulation) at the Financial Industry Regulatory Authority, Inc. (FINRA) is conducting a review of [FIRM] concerning the impact the receipt of order routing inducements, such as payment for order flow and maker-taker rebates, has on the Firm’s [equities and options] order routing practices and decisions. As part of this review, TFCE requests that the Firm provide complete and detailed responses to the following:
TRACE Reporting Timeframes and Transparency Protocols1
Type of TRACE-Eligible Security | Other Transactions - Reporting Timeframes | List or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting Timeframe | Transparency2 |
---|---|---|---|
Corporate Bond (see FINRA Rule 6710(a)) | Within 15 minutes of time of execution (see FINRA Rule 6730(a)( |
- I’m not sure I understand how the DR Portal works. What is the process for initiating a new arbitration case and registering the party representatives to it?
- How do I create an online account so that I can access the Dispute Resolution (DR) Portal?
- I locked my account by mistyping my password several times.
The fixed income distributions file is a cumulative list of distributions that have been announced per calendar year going back to 1/1/2017. Distributions include cash, stock and in kind distributions as a result of a bankruptcy reorganization plan, default interest payments, or other distributions in fixed income securities.
These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
These reports and report cards display summaries and statistics related to various risk factors, including sales practice and customer complaints, and more.
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