This report is provided as a compliance tool to help TRACE Security Administrators monitor TRACE system entitlement.
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.
Across generations, women trail men in financial knowledge—but the gap may be closing. This Mother's Day, here are some tips to keep that momentum going.
Regulators and industry participants are weighing the balance between opportunities presented by financial technologies like data aggregation with potential risks these new innovations may pose to investors and markets. On April 12, 2018, FINRA hosted a FinTech Roundtable with member firms in New York City focused on this topic, along with current trends in RegTech and Personal Financial
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today it has fined Fifth Third Securities, Inc., $4 million and required the firm to pay approximately $2 million in restitution to customers for failing to appropriately consider and accurately describe the costs and benefits of variable annuity (VA) exchanges, and for recommending exchanges without a reasonable basis to
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
