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The Neutral Corner—Volume 2, 2021
Mission Statement
Zoom Zooming into Mediations In COVID-Times (by James Yellen, FINRA Arbitrator and Mediator)
FINRA Virtual Mediations (by Narielle Robinson, FINRA Mediation Case Administrator)
Bits, Bytes and E-Discovery Fights: Part II (by Lisa Miller, FINRA Arbitrator)
Is That Your Final Decision? (by Shannon Bond, FINRA Associate Regional Director,
The forms required by Rule 11580 are published in NASD Notice to Members 96-14 (March 1996), pp. 70–75.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Adopted by SR-NASD-95-53 eff. Jan. 29, 1996.Selected Notice: 10-49.
Summary
FINRA Rule 4111 (Restricted Firm Obligations) became effective on January 1, 2022. This Notice announces that the first “Evaluation Date” for Rule 4111 will be June 1, 2022.
Questions concerning this Notice should be directed to:
Kosha Dalal, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6903 or by email; or
Michael Garawski, Associate
I got a letter from Proshare urging me to oppose FINRA regulatory notice 22-08 and I almost submitted my public comments but decided to actually read the FINRA notice first. It was an eye-opener to say the least. I am an educated and experienced trader who understands the risks of complex instruments such as inverse funds, leveraged funds, options etc. But the examples FINRA shared of
I got a letter from Proshare urging me to oppose FINRA regulatory notice 22-08 and I almost submitted my public comments but decided to actually read the FINRA notice first. It was an eye-opener to say the least. I am an educated and experienced trader who understands the risks of complex instruments such as inverse funds, leveraged funds, options etc. But the examples FINRA shared of
FINRA previously announced plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023. In order to align this change with FINRA Regulatory Notice 22-27, which specifies timestamp granularity, the change for TRACE for Treasuries FIX receipt messages, including acknowledgments, will now go into effect on Monday, November 6, 2023.
Currently, the TRACE for
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
The FINRA Test Facility (NTF) is currently unavailable for testing all FINRA Multi Product Platform (MPP) products. This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Trade Reporting Facility (TRF) platform, and the OTC Reporting Facility (ORF). Please note, because of this event any data entered into NTF this morning will be unavailable once the system has
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IMPORTANT MAIL VOTE
I strictly oppose FINRA Regulatory Notice #22-08. I strictly oppose any limitations put on my investments. Why don't you look into what congress is doing??