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FINRA’s 144A Dissemination ServiceSM (144ASM) broadcasts last sale price and other relevant trade data for U.S. dollar-denominated private placement, investment grade and high yield corporate bonds to authorized market data vendors.
TRACE Monthly Volume Report for 2014
TRACE Monthly Volume Report for 2013
Rulemaking topics discussed include:
BrokerCheck link in online retail communications with the public;
definitions of public and non-public arbitrators;
expungement of customer dispute information; and
temporary cease and desist orders, expedited proceedings.
Rulemaking Items for Discussion at the February 2014 Meeting
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.