FINRA has observed that TRACE Corporate and Agency volume displayed in the TRAQS Time and Sales Scan does not accurately reflect the volume reported in the trades.FINRA will advise when this issue has been corrected.
Agenda is subject to change. All times are in Mountain time. Wednesday, November 209:00 a.m. – 9:40 a.m.Check-in and Breakfast9:40 a.m. – 9:50 a.m.Remarks9:50 a.m. – 10:50 a.m.Municipal Advisor Disclosure Obligations10:50 a.m. – 11:00 a.m.Break11:00 a.m. – 12:00 p.m.Off-Channel Communications12:00 p.m. – 1:15 p.m.Lunch (On Your Own)1:15 p.m. – 1:25 p.m.Remarks1:25 p.m. – 2:25 p.m.
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
(a) Authority to Initiate Halts In Trading Otherwise Than on an Exchange in NMS Stocks and Facility ClosuresFINRA, pursuant to the procedures set forth in paragraph (b):(1) shall halt trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b) of SEC Regulation NMS, whenever a Primary Listing Market declares a Regulatory Halt in the security.(2) shall halt trading otherwise
SummaryFINRA has adopted amendments to Rule 3240 (Borrowing From or Lending to Customers) to strengthen the rule’s general prohibition against borrowing and lending arrangements between registered persons and their customers, narrow some existing exceptions to the general prohibition, modernize the “immediate family” definition, and enhance the notice and approval requirements related to
Sec. 3. Each member shall appoint and certify to the Secretary of the Corporation one "executive representative" who shall represent, vote, and act for the member in all the affairs of the Corporation, except that other executives of a member may also hold office in the Corporation, serve on the Board or committees appointed under Article IX, Section 1 or otherwise
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
(a) Reportable TransactionsMembers shall comply with the Rule 7200A Series when reporting transactions to the System, including executions of less than one round lot if those executions are to be compared and locked-in. All trades that are reportable transactions will be processed pursuant to an effective transaction reporting plan. Trades that are not already locked-in trades will be
(a) Each member shall maintain the following information:(1) for each account: (A) customer's name and residence;(B) whether customer is of legal age;(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of their responsibilities with respect to the account
(a) Supervisory SystemEach member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with the member. A member's supervisory system shall provide, at a minimum, for
