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Life happens. Sometimes in the most jarring, unexpected ways that can impact your work life and your livelihood. And when it does, you want to work for a company with empathetic leadership, that has genuine concern for employees, and a culture of caring and adaptability.
Hi, I’m Sarah. In March 2020, I experienced firsthand, and at the highest level, that FINRA is that kind
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.
FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. As noted in the Regulatory
Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Reporting Reversals of OTC Trades in Equity Securities
FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
