Displaying 251 - 260 of 28149 Results
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
Reminder, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE. The master list of U.S. dollar-denominated foreign sovereign debt securities will be available beginning the morning of November 6, 2023 via the TRAQS Security Scan and the TRACE Reference Data
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
FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
The Consolidated Audit Trail (CAT) topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I am against you implementing your Notice #22-08 because it will prohibit me from buying instruments that go up as interest rates go up. Your notice not allow me to protect my extensive portfolio.
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its specifications.
(a) Time to File Notice of Appeal
A Respondent or the Department of Enforcement may file a written notice of appeal within 25 days after service of a decision issued pursuant to Rule 9268 or Rule 9269.
(b) Effect
An appeal to the National Adjudicatory Council from a decision issued pursuant to Rule 9268 or Rule 9269 shall operate as a stay of that decision until the National Adjudicatory
Beginning May 15, 2023, as described in Regulatory Notice 22-12, members must report transactions in TRACE Corporate securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation.
The TRAQS User Guide, TRACE FIX, and TRACE ATDS,
Resources for Rules Concerning Brokers with a Significant History of Misconduct
Regulatory Notice 21-09
Mapping of Disclosure Categories for Rule 1017(a)(7)
Materiality Consultation Checklist for Rule 1017(a)(7)
FINRA Taping Rule (FINRA Rule 3170)
General Information on Statutory Disqualification and FINRA’s Eligibility Proceedings
Interim Plans of Heightened Supervision FAQs
Sample