As announced by the Board of Governors of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions’ daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine
SUGGESTED ROUTING*
Senior ManagementOperationsResearch
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the second quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 15, 1989, the following 18 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,798:
Summary
FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to:
compliance with Rule 4311 (Carrying Agreements);
the transmission of customer account statements to other persons or entities;
the use of electronic media to satisfy delivery obligations;
compliance with Rule 3150 (Holding of Customer Mail);
the information
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
I have been responsibly using leveraged ETFs as a single-digit percentage of my portfolio for almost three years now, and I personally find the notion that they now could be restricted from individual investors to be utterly outrageous. I am stuck dealing with grossly subpar investments via my pension and Social Security (while I understand the rationale for Social Security writ large), and I
David Budd is Vice President in Technology with responsibility for technology programs for the Market Regulation, Transparency Services and the National Cause and Financial Crimes Detection Programs business areas.
Mr. Budd joined FINRA in 1999, and has managed technology for several regulatory programs, including external interfaces for the first Alternative Display Facility, and the design and
Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a wide variety of
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike.
AML isn’t just a regulatory issue; it is a national security concern. AML is essential to ensuring the continued functioning of our financial system; and every firm, no matter the size, needs to get
