Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC
Status
Code for Status
Description
EVEP Credit
EVEP_CREDIT
While valid, indicates an individual is qualified for the registration associated with the exam for fulfilling the requirements of NASAA’s Exam Validity Extension Program (EVEP).
Credit
CREDIT
While valid, indicates an individual is qualified for the registration(s)
The documents below are intended for use by those participating in Web EFT user testing and should be used solely in conjunction with the fileX QA environment. These documents are draft versions of the schemas which will be updated as part of a future CRED release. Please note that current versions of the Web EFT schema files must be used when submitting form filings in our production environment
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
Subscriber agrees and acknowledges that the CUSIP Database and the information contained therein is and shall remain valuable intellectual property owned by, or licensed to, CUSIP Global Services ("CGS") and the American Bankers Association ("ABA"), and that no proprietary rights are being transferred to Subscriber in such materials or in any of the information contained therein.
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.
In addition, beginning November 6, 2023, as described in Regulatory Notice 22-27, the requirements for granularity of execution timestamps for TRACE Treasuries transactions will go into effect. FINRA is
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-4 Records to be preserved by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
