Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to shorten the standard settlement cycle for most broker-dealer transactions.
Thursday, December 7, 202310:30 a.m. to 4:30 p.m. ETThe 2023 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free webcast program designed to provide municipal advisors and other municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters. Panel topics will include a discussion of compliance concerns
FINRA has updated the TRACE SPDS Data Feed Specification. The value of “U”, for Issuing Agency “UMBS” is now listed in the RDID identification table.Contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework.FINRA will sponsor a production User Acceptance Test (UAT) on Saturday,
FINRA Dispute Resolution Services strives to provide a fair, efficient and effective forum for investors, brokerage firms, and their registered employees to resolve their securities disputes. FINRA recognizes the importance of providing a diverse pool of arbitrators from which parties can choose.
These four Firm Grouping Webinars are free 75-minute sessions that highlight key topics that were discussed during the 2023 FINRA Firm Grouping Conference, provide updates on top compliance considerations that are tailored to each firm grouping (Retail, Capital Markets & Investment Banking, Clearing & Carrying, Diversified and Trading & Execution) and offer opportunities
If you’re not careful, holiday expenses—including non-gift items and entertainment costs—can add up quickly. Follow these four steps to set a thorough holiday budget and keep spending under control.
FINRA now offers candidates the choice to take an exam at a local test center or, for a limited number of exams, proctored remotely online. For either appointment type, please ensure you are prepared in advance of your test appointment and familiar with what to expect on the day of your exam. Please review and complete any necessary preparations indicated for your applicable test experience.
FINRA is making available in one place on its website a list of firms and individuals responsible for unpaid customer arbitration awards. FINRA is providing the information in this new format to provide greater transparency around those firms and individuals with unpaid arbitration awards and to make this information more readily accessible to investors. The information will also continue to
Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.