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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
As a condition for a broker or dealer to compute certain of its deductions to capital in accordance with § 240.15c3-1e, pursuant to its undertaking, the
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
New Payments for Market Making Certification Requirement for FINRA Form 211
Beginning in early December 2022, FINRA will introduce changes to the Trade Data Dissemination Service (TDDS 2.0).1 These changes are being made in concert with FINRA’s technical infrastructure upgrade, and TDDS clients should plan to accommodate them.
FINRA has updated the TDDS specification to correspond with these changes and has also included the link to the MOLD/UDP 64 specification in the
In this session, panelists discuss upcoming changes to the Securities Industry Continuing Education Program.
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
GUIDANCEOrder-Routing and Execution SystemsSUGGESTED ROUTINGKEY TOPICSInstitutionalInternal AuditLegal & ComplianceOperationsSenior ManagementSyndicateSystemsTrading OperationsOrder-Routing and Execution SystemsRule 3010Rule 3310 and IM-3310SupervisionTrading and Market Making Systems Executive SummaryIn recent months, there have been several instances where member firms inadvertently
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 8 representative
North Region Committee, District 9 representative
South Region Committee, District 7