In observance of Christmas and New Year’s Day, the FINRA Alternative Display Facility (ADF) system will follow the schedule below:
Tuesday, December 24, 2019 Early Close
Wednesday, December 25, 2019 Closed
Wednesday, January 1, 2020
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
Monthly Disciplinary Actions December 2019
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in
State and national securities regulators and legislators came together on November 6, 2019 in Gaithersburg, MD to talk to area savers and investors about how to make informed investment decisions and to protect their retirement savings from fraud. Hear from FINRA Foundation President, Gerri Walsh, about how Marylanders are doing with their finances.
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/Nasdaq Trade Reporting Facility may receive from the FINRA/Nasdaq Trade Reporting Facility transaction credits based on the transactions attributed to them. A transaction is attributed
Beginning June 1, 2020, as described in Regulatory Notice 19-30 members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction [that meets the FINRA Rule 6710 definition of “List or Fixed Offering Price Transaction” or “Takedown Transaction”] with an appropriate identifier. The Sale Condition 2 Identifier, available via the TRAQS
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
