Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Important Reg T Extension Request System Announcement
Many firms that file extensions via batch processing have been experiencing a large number of 'REJECTED' extensions with the following error message; "Original Extension Request not found. Secondary request rejected".
On April 20, 2015, FINRA launched the Securities Helpline for Seniors to provide senior investors a source of trustworthy information and assistance. Since its inception, Helpline staff has taken more than 13,000 calls and brokerage firms have voluntarily returned more than $5.3 million to brokerage customers because of information and help provided by the Helpline.
Many callers are simply
April 20th marks the three-year anniversary of the Senior Helpline, which FINRA launched to provide senior investors a source of trustworthy information and assistance. The Helpline's dedicated staff has taken over 13,000 calls, including over 1,000 so far in 2018.
Effective Monday, August 20, 2018, FINRA will begin to apply validations to the OTC Trade Reporting Facility (ORF) and the Alternative Display Facility (ADF) for equity transactions submitted with the Short Sale Indicator.
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
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
