FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
FINRA previously announced plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023. In order to align this change with FINRA Regulatory Notice 22-27, which specifies timestamp granularity, the change for TRACE for Treasuries FIX receipt messages, including acknowledgments, will now go into effect on Monday, November 6, 2023.
Currently, the TRACE for
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 15, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data
FINRA’s Virtual Artificial Intelligence (AI) Conference and FinTech Office Hours occurred on November 9 and November 10, respectively. The Virtual AI Conference was a half day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. Register to view the sessions.
OverviewThe following tool identifies key cybersecurity risks currently facing small firms and helps them enhance their customer information protection, and cybersecurity written supervisory programs (WSPs) and related controls, including:Highlighting the most common and recent categories of cybersecurity threats facing small firms, including questions to assist firms with addressing such threats
About FINRA FINRA is a not-for-profit organization authorized by Congress that is dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S.FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-
(a) Failure to Participate Below
If an appealing Party did not participate in the disciplinary proceeding before a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, and fails to show good cause for the failure to participate, the matter shall be considered by the Subcommittee or, if applicable, the Extended Proceeding Committee, and the National Adjudicatory
Regulatory Notice 12-11 announced SEC approval of FINRA Rule 4524 (Supplemental FOCUS Information), which requires each firm, as FINRA shall designate, to file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest as a supplement to the FOCUS report, and the adoption of the Supplemental
To Whom it May Concern, Thank you for requesting comments on this matter. I believe short interest and short sale reporting plays a major part of our current financial structure. Such a major role, that it is surprising how lax the overall rules are governing this aspect. I'm as smooth brain as they come, but I truly believe in clear and open transparency to the public is a way to help
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