Before any customer order is executed, there must be placed upon the order form or other similar record of the member for each transaction, the name or designation of the account (or accounts) for which such order is to be executed. No change in such account name(s) (including related accounts) or designation(s) (including error accounts) shall be made unless the change has been authorized by a
Various state statutes provide for speedy trials in civil actions involving seniors or seriously ill parties. FINRA recognized a need for expedited hearings in arbitrations involving such parties in its dispute resolution forum.
12 p.m. ET:The FINRA Test Facility (NTF) is now available for testing. TRAQS users will be able to view all history data except for any transactions that were sent in this morning between 8:00 a.m. and 10:30 a.m. ET for TRACE CA and SP. All other products will display the full transaction history. Please contact FINRA Product Management or call (866)
The Neutral Corner – Volume 4—2023
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
Public GovernorFormer CEO, CalSTRSGovernor Since 2018Committees: Compensation & Human Capital Committee, Conflicts Committee, Finance, Operations & Technology Committee, Investment Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceCEO, CalSTRS (2002 – 2021)Vice President, Great-West Life & Annuity Insurance Company (2000 – 2002)Colorado Public Employees
