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Our third Small Firm Report took place on Tuesday, November 27. FINRA Chief Executive Officer Robert Cook, was joined by Senior Vice President
The FINRA Board of Governors meets this week in New York for the final time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1
When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.
Open the Excel file provided in the
As previously announced in Nasdaq Equity Trader Alert # ETA2018-63, effective September 1, 2018, a new category of participant on the FINRA/Nasdaq Trade Reporting Facility (or “FINRA/Nasdaq TRF”)1 was established for purposes of trade reporting fees under FINRA Rule 7620A – the Retail Participant. The Retail Participant Program is designed to better align and tailor retail pricing to the profile
Regulatory and Technical notices related to ATS
OTC Transparency Documentation
Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
SEC Approves Amendments to FINRA Rule 4570
