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Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.
I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I
Parties may not file letters or emails with the Office of Hearing Officers. All filings must be in the form of a pleading.
Parties must file all pleadings as separate, individual documents. Each pleading must include the caption of the case and a certificate of service as part of the pleading. Parties should not attach notices of filing or other documents as part of the same pleading, unless
(a) Form, Content, Notice, Docketing, and Service
(1) If a complaint is authorized, the Department of Enforcement shall issue the complaint. Each complaint shall be in writing and signed by the Department of Enforcement. The complaint shall specify in reasonable detail the conduct alleged to constitute the violative activity and the rule, regulation, or statutory provision the
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended
Read CEO Robert Cook’s email to firms describing outcomes from the June 2020 FINRA Board of Governors Meeting.
Summary
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS). As amended, a member ATS may apply for the exemption for transactions between a member subscriber and a non-member entity
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
The fair pricing obligations under FINRA Rule 2121 (Fair Prices and Commissions) apply to transactions in all securities—including fixed income securities—and MSRB Rule G-30 imposes similar obligations for transactions in municipal securities. In addition, FINRA Rule 2121 and MSRB Rule G-30 also include specific requirements for transactions in debt securities. These rules generally require a dealer that is acting in a principal capacity in a debt security transaction with a customer, and charging a mark-up or mark-down, to mark up or mark down the transaction from the prevailing market price (PMP).
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
SEC Approves Amendments to FINRA Dispute Resolution By-Laws