The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Monthly Disciplinary Actions April 2018
The online Engagement Portal provides a convenient method through which individuals may indicate their interest in being considered for positions on FINRA’s committees and boards. Interested individuals may submit basic contact and background information, indicate the committees or boards they are interested in and provide a brief biographical summary and a statement regarding why they
TRACE related regulatory and technical notices.
Large Options Positions Report (LOPR) – Listed
FINRA is providing Listed LOPR exceptions from FINRA’s Listed LOPR Audit Exception Report. The LOPR Listed report contains three types of exceptions for exchange-traded options: The Effective Date, LOPR Reporting Exceptions and In-Concert Exceptions.
Large Options Positions Report (LOPR) – Over-the-Counter
FINRA is providing OTC LOPR exceptions from
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt rules relating to the establishment of a second Trade Reporting Facility or “TRF” to be operated in conjunction with Nasdaq, Inc. (“Nasdaq”). The second FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Chicago”) would provide
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
A listing of forms related to Uniform Practice Code.
