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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
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates and FAQ updates.
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible corporate debt 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, as described in
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceOperationsTrading
Executive Summary
On September 20, 1994, the Securities and Exchange Commission approved a proposed rule change by the NASD that amends the listing requirements in Parts II and III of Schedule D to the NASD By-Laws to impose specific delisting requirements for units listed on the Nasdaq National Market® and The
(a) Applicability
No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
(b) Written Notice
Prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction
SUGGESTED ROUTING*
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Section 59 of the NASD's Uniform Practice Code, which
You have made this notice complex. I only agree with giving the investor more information 2c. If you want to regulate something make Companies that issue a K-1 to shareholders be required to use a stock symbol ending in K.
Almost all of investors are already well aware of the meaing of investing in leverged or inversed efts and no one can or should limit the personal choice for investing with their own money and assets I totally oppose for the FINRA regulatory notice
Almost all of investors are already well aware of the meaing of investing in leverged or inversed efts and no one can or should limit the personal choice for investing with their own money and assets I totally oppose for the FINRA regulatory notice
I am against a notice from March 8, 22 to buy funds offered by ProShares. You shouldnt prevent or restrict investors ability to buy the funds. If they want to make a profit and pay taxes on it - its good for the country.