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FINRA client connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF) are routed through Nasdaq, which acts as FINRA's service provider.
Data Shows Many Borrowers Don’t Understand Loans They Obtain
WASHINGTON — Nearly half of young Americans start their working lives with student debt, and 43 million Americans carry student loans. A new study by the Global Financial Literacy Excellence Center (GFLEC) at the George Washington University School of Business found that many borrowers are struggling to make student loan payments and
SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
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WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has named a new Large-Firm Governor – Stephen M. Cutler, Vice Chairman of JPMorgan Chase & Co. – to its Board of Governors. Cutler was appointed to complete the term of former Governor Gregory Fleming, who resigned his board seat earlier this year.
Cutler joined JPMorgan as its General Counsel in 2007 from the law firm of
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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FINRA has updated the
TRACE Web API Specification for Securitized Products - Version 4.9b
to help firms meet the reporting requirements for CMO transactions as outlined in Regulatory Notice 16-38.
In addition to the changes outlined in version 4.9 published on October 18, 2016, First Settlement Date has been added to the Security Master and Daily List files.
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FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets.
Alternative Display Facility (ADF)
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554