FINRA has observed that some TRACE Corporate and Agency and TRACE Treasury trades reported for execution dates of November 28 and November 29, 2024 have been misrepresented as being late. FINRA is investigating the cause and will update affected clients as more details are known.
May 2, 2023During this session, FINRA staff discuss the emerging trend of new account fraud, how bad actors are committing crimes through new account fraud, common practices to mitigate new account fraud, and applicable rules, regulations and guidance.Speakers:Blake Snyder, Senior Director, Financial Intelligence UnitGargi Sharma, Investigative Director, Special Investigations UnitCarmi Moser,
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7100.
(a) The Board shall appoint a Director of Mediation to administer mediations under the Code. The Director will consult with the NAMC on the administration of mediations, as necessary.
(b) The Director may delegate his or her duties when appropriate, unless the Code provides otherwise.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 10404 and amended by SR-NASD-
An investment's performance is more than just the amount a stock, bond or mutual fund has appreciated since you bought it. If you want to make informed investment decisions, you should learn how to calculate your return on investment, or ROI.
The 2024 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free live-streamed and in-person program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.
Recently, certain TRACE Corporate and Agency and TRACE Treasury trades were incorrectly marked late in specific scenarios related to the holiday and early close (this applied to some transactions with execution dates of November 28 and November 29, 2024).FINRA will perform a data fix to remove the incorrect late flag from affected transactions. ADDS trade journals will be republished
Information for CandidatesEligibilityCandidate Information in FINDInformation UseAutomatically Opted OutFees for CandidatesContactsInformation for Broker-Dealer FirmsInformation for Candidates^ Back to topEligibility1. Am I automatically signed up for FIND?No, you must actively opt in to FIND.2. I did not opt in to FIND when I enrolled for the exam. Can I still opt in?Yes, you may still opt in
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