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Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
On August 18, 2008, BATS Trading ("BATS") announced that it had received approval from the Securities Exchange Commission to operate a stock exchange, BATS Exchange, Inc.
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.
Personal Information Required
As a matter of
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
An investment’s performance is more than just the amount it has appreciated since you bought it, whether we’re talking stocks, bonds, real estate or some other asset. If you want to make informed investment decisions, it’s important that you understand how to calculate your return on investment (ROI).
Beginning Monday, February 5, 2018, FINRA members will be required to report the “B” and “S” modifiers on applicable transactions in U.S. Treasury Securities (Treasuries) reported to TRACE. Starting on that date, transactions that meet the defined criteria for these types of transactions must include these modifiers:
“B” on a trade report if the transaction being reported is part of a series of
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
This OATS Report is being issued to update guidance on the OATS reporting requirements for the use of the Account Type Code value of "X"- Error Account previously published on August 4, 2008.
Mike Rufino, Executive Vice President and Head of FINRA Member Regulation—Sales Practice, talks about FINRA’s High-Risk Registered Representative Program. The discussion includes an overview of the program, the criteria FINRA uses to identify high-risk activity, and tools and resources that are available to help firms perform their own reviews. (8 min. 45 sec.)
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule