NASAA, the SEC, and FINRA co-hosted a free webinar on identifying and reporting the financial exploitation of senior investors. Firms can use this webinar to help train associated persons about how to identify and report financial exploitation of senior and vulnerable adult investors.
The training serves as a resource for firms implementing the requirements of the federal “Senior Safe Act” (
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and those without any
As previously announced, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees
WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.
The Board appointed
During its May 17 and 18 meeting, the FINRA Board of Governors appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and appointed new members to FINRA Advisory Committees.
FINRA has resolved the issue this morning concerning dissemination of TRACE Corporate and Agency Debt transaction messages disseminated via the BTDS, BTDS-144a and ATDS feeds. All earlier transactions have now been disseminated and the feeds are operating normally.
Please contact FINRA Product Management with any questions.
FINRA is currently experiencing an issue disseminating TRACE Corporate and Agency Debt transaction messages disseminated via the BTDS, BTDS-144a and ATDS feeds. Securitized Products transactions disseminated via the SPDS feed is not affected. Trade reporting into TRACE is also not affected.
FINRA is working on a solution and will update clients as more details are known.
Please contact FINRA
Disclaimer:
We are providing instructions on how to use your browser to assist you in reading FINRA’s website in languages other than English. These are general instructions on how to use a third-party provider (in this case, Chrome, Safari, Edge, or Firefox) to translate FINRA web pages into other languages. These browsers cannot translate all types of documents and may not provide an exact
In observance of Memorial Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, May 29, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
