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Hello,
I am writing this comment about the "Regulatory Notice 22-08". In short, this notice pertain to what FINRA considers as a "complex product".
As goes with almost everything the "complexity" is in the eyes of the beholders. What's complex for one might be simple for another. Therefore, I believe, imposing someone's
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
Summary
FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.
This
Summary
Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $5.10 per million dollars in transactions to a new rate of $22.90 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637
As announced in a Technical Notice on 6/3/19, there was an issue in the Tier 1 5/13/19 weekly report where some ATS data was unattributed. The issue has now been resolved. The unattributed data was actually associated with trade activity on the MLIX Instinct X ATS. The line data for MLIX has now been updated to reflect the additional activity.
If you have any questions, please contact FINRA
FINRA has delayed the launch for the expansion of summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. The revised date for this information to become available will be Monday, December 2, 2019.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an
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Senior Management
Legal & Compliance
Registration
The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up to date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in address and contact people ensures that
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistration
The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up to date. Making certain that Central Registration Depository (CRD) is kept informed of changes in address and contact people ensures that regular
On Tuesday February 11, 2020, and Wednesday, February 12, 2020, the FINRA Test Facility (NTF) will be unavailable for clients who test using the CTCI-MQ.protocol. This affects FINRA's Trade Reporting and Compliance Engine (TRACE) and the OTC Reporting Facility (ORF).
FIX and CTCI-TCP/IP protocols in the NTF region as well as all production systems are unaffected by this event.
Please
Shareholder derivative actions may not be arbitrated under the Code.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.