Charges, if any, for services performed, including, but not limited to, miscellaneous services such as collection of monies due for principal, dividends, or interest; exchange or transfer of securities; appraisals, safe-keeping or custody of securities, and other services shall be reasonable and not unfairly discriminatory among customers.
Amended by SR-FINRA-2014-049
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A final production User Acceptance Test (UAT) for
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A production User Acceptance Test (UAT) for
Have you ever thought about how online stock trading works? Once you hit enter on an order to buy or sell a stock, what happens next? There might be more steps in the stock trade process than you realize.
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
(a) FINRA will pass through any penalties incurred under the National Market System data plans and allocate them accordingly to the ADF Trading Center that exceeds its projected message traffic. Each ADF Trading Center will be invoiced for any penalties that may occur.
(b) In assessing capacity penalties incurred under the National Market System Plans:
(1) FINRA will use the metrics of the
