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ACTION REQUESTED
Rule Modernization Project
Response Period Expires on: March 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Annual Compliance Conference
Branch Office
Customer Support
Modernising reporting instructions is a key pillar of the FCA’s work, alongside the Bank of England, to transform data collection. The other pillars of our Transforming Data Collection programme are integrated reporting and data standards, which we believe will collectively support us to achieve a vision of digital regulatory reporting and digital regulation. Your initiative is a hugely
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 7, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018