Beginning with the June 2009 reporting period, FINRA is issuing a preliminary version of the OATS Compliance Report Card in an effort to provide firms with more timely information regarding their overall OATS compliance performance.
Summary
Effective May 22, 2018, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $23.10 per million dollars in transactions to a new rate of $13.00 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637
The FINRA Board of Governors meets this week for the first time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
FINRA is issuing this OATS Report to further describe members’ OATS reporting obligations when handling orders on an agency basis.
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
FINRA has developed online guides to help firms understand how to use some of FINRA’s report cards. FINRA will continue to publish online guides as new report cards become available.
Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
