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FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the day (i.e
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
FINRA Rule 4111(b) requires the Department of Member Supervision (Department) to calculate annually a member firm’s "Preliminary Identification Metrics" to determine whether the firm meets the "Preliminary Criteria for Identification."1 A key driver of that is whether a member firm’s Preliminary Identification Metrics meet quantitative, risk-based "Preliminary
On Thursday, March 11, from 2:00 to 4:00 pm (ET), FINRA and SEC staff are hosting a free webinar via Zoom for funding portal members and for broker-dealer members that engage in Regulation Crowdfunding offerings. In the webinar, staff from FINRA and the SEC expect to address several topics, including:
a brief overview of recent amendments to Regulation Crowdfunding;
recent findings by FINRA
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Regulatory
Senior Management
Financial and Operational Principals (FINOPs)
SEC Rule 15c3-1 (Net Capital Rule)
SEC Rule 15c3-3 (Customer Protection Rule)
SEC Rule 17a-5 (Reports to Be Made by Certain Brokers and Dealers)
Executive Summary
NASD is issuing this Notice to Members (NTM) to
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD recently completed a study of secondary market trading in direct participation program (DPP) securities. As a result, this notice is being issued to emphasize the applicability and relevance of certain NASD rules,
Background information about FINRA Contact System (FCS) and related Notices.
The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their Careers
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the 2022 FINRA Foundation Military Spouse Fellowship recipients.
Forty-five
ACTION REQUIRED
Broker-Dealer and Investment Adviser Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Renewals
Registration
Web CRD®
Executive Summary
The 2007 NASD Registration Renewal Program will begin on
(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, and any retail communication (as