FINRA Enforcement works on the front lines of investor protection.
Beginning Monday, September 9, 2024, FINRA will introduce the MOLD.UDP 64 protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A.
As part of its Transparency Services improvement initiative, beginning Monday, October 21, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA will sponsor a fourth production User Acceptance Test (UAT) on Saturday, September 7, 2024, from 9 a.m. to 12 p.m. ET. TRACE clients are strongly encouraged to participate in
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31, 2024, and conducted the mediation by December 31, 2024.The SavingsFINRA participating mediators will offer the following rates for mediation sessions
The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations ("SROs") and state securities regulators may conduct effective examinations of broker-dealers.
SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Except for arbitration awards, which are publicly available, the documents and information in FINRA Dispute Resolution case files are confidential.
(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
