Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.FINRA will sponsor a production User Acceptance Test (UAT) on Saturday, July 20, 2024, from 9 a.m. to 12 p.m. ET. Clients who wish to participate in this test must register with FINRA Market
When buying or selling stocks, you'll have to figure out whether you want to include any special instructions on the execution of the trade. These qualifiers can have important consequences for your order, so it’s important to understand their differences. The most common time parameters are known as “time in force” options.
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
Beginning Monday, September 30, 2024, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files. To access the API via MFA, users will need to be entitled to use the product, have an assigned user name (Email address) and password, answer security questions and enroll in one or more additional authentication methods. To gain access, users are
The Advertising Regulation Department helps protect investors by ensuring that broker-dealers' communications are fair, balanced and not misleading and comply with the advertising rules of FINRA, the SEC, the MSRB and SIPC.The Department helps FINRA members understand and apply these advertising rules through its filings review program, published guidance and outreach. Through its filings
As previously announced beginning Monday, September 9, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds.
FINRA Enforcement works on the front lines of investor protection.
