/**/
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-5 Security-based swap trading relationship documentation.
15Fi-5(a) Scope -
15Fi-5(a)(1) Applicability. The requirements of this section shall not apply to:
15Fi-5(a)(1)(i) Security-based swaps executed prior to the date on which a security-based swap dealer
/**/
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-4 Security-based swap portfolio compression.
15Fi-4(a) Portfolio compression with security-based swap dealers and major security-based swap participants -
15Fi-4(a)(1) Bilateral offset. Each security-based swap dealer and major security-based swap
/**/
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-3 Security-based swap portfolio reconciliation.
15Fi-3(a) Security-based swaps with security-based swap dealers or major security-based swap participants. Each security-based swap dealer and major security-based swap participant shall engage in portfolio
/**/
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-2 Acknowledgment and verification of security-based swap transactions.
15Fi-2(a) Trade acknowledgment requirement. In any transaction in which a security-based swap dealer or major security-based swap participant purchases from or sells to any counterparty a
/**/
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-1 Definitions.
For the purposes of §§ 240.15Fi-1 through 240.15Fi-5:
15Fi-1(a) The term bilateral portfolio compression exercise means an exercise by which two security-based swap counterparties wholly terminate or change the notional value of some or all of
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
17a-13(a) This section shall apply to every member of a national securities exchange who transacts a business in securities directly with or for others than members of a
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
Pending Securities and Exchange Commission (SEC) approval, the IntelligentCross ATS (MPID: INCR) intends to become an active quoting participant on FINRA’s Alternative Display Facility (ADF).
FINRA and INCR will participate in a CTA/UTP production User Acceptance Test on Saturday, January 21, 2023, from 9:30 a.m. to 11:00 a.m. ET.
The following symbols will be used for the duration of the test
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d).
Summary
FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to:
compliance with Rule 4311 (Carrying Agreements);
the transmission of customer account statements to other persons or entities;
the use of electronic media to satisfy delivery obligations;
compliance with Rule 3150 (Holding of Customer Mail);
the information
