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FINRA provides various methods to submit comments in response to its requests for comments.
FINRA has adopted a short-form membership application process for certain firms that must become FINRA members due to the recent amendments to Rule 15b9-1 of the Securities Exchange Act of 1934. Firms that are eligible for the short-form membership application process also must have been a member of a national securities exchange with which FINRA has had a regulatory services agreement for the 12-month period prior to August 23, 2023. FINRA has further adopted a partial waiver of the new membership application fee for those firms that apply for FINRA membership through the short-form membership application process. These rule changes became effective on October 30, 2023.
This Interpretive Material sets forth a membership application process for those firms that must become FINRA members due to amendments to SEA Rule 15b9-1, as adopted by the SEC on August 23, 2023. This membership application process is available only to SEC-registered, non-FINRA member firms that must become FINRA members due to the amendments to SEA Rule 15b9-1 and, as of August 23, 2023, have
Firms that apply for FINRA membership pursuant to IM-1013-3 shall be assessed one-half the applicable membership application fee set forth in Section 4(e) of Schedule A to the FINRA By-Laws. Those firms will otherwise remain subject to the FINRA By-Laws and Schedules to By-Laws, including Schedule A.Adopted by SR-FINRA-2023-014 eff. Oct. 30, 2023.Selected Notice: 23-19.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for the following products for client testing all day Friday, November 10, 2023. TRACE Treasuries FIX connectionsTRAQS website for all TRACE products, ORF and ADFProduction systems are unaffected by this event. NTF will become available again for all products starting November 13, 2023. Please contact
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
If your firm feels that FINRA has assessed a fee in error, your firm can open a case through one of these three channels.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt (1) FINRA Interpretive Material 1013-3 (“IM-1013-3”) that would set forth a short-form membership application process for firms that apply for FINRA membership due to the amendments to Exchange Act Rule 15b9-1, adopted by the
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
Ryan Broussard is no stranger to the Createathon Winners’ Circle. Since participating in his first event in 2020, his team GLAM 2.0 won third place overall and the People’s Choice Awards in 2020, team AQUA took first place in 2021, and 2022 his team IPIC won first place overall and the People’s Choice Awards. That’s quite a winning resume, However, for Ryan, it’s not all about winning. It’s also about innovation, collaboration, networking, and developing creative solutions that benefit FINRA and ultimately firms and the industry.