To assist firms in complying with SEC Rules regarding financial and operational matters, FINRA has published and will periodically update certain interpretations provided by the staff of the SEC's Division of Trading and Markets.
Currently, in the Tier 1 5/13/19 weekly report, there is ATS data that is unattributed (that is, there is no ATS name associated with one line of data found in the ATS Data tab). See below:
FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.
If you have any questions, please contact FINRA Business Services.
September 17, 2019
9 a.m. - 1 p.m.
Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950
Topics
Outside Business Activities and Private Securities Transactions
Social Media and Digital Communications Compliance
Register - $195
FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics. During these teleconferences, regulators and industry experts discuss timely subjects. In addition, panelists answer questions submitted in advance by participants. Audience members can either dial-in live or—when available—listen to archived recordings at a later date. Many of the
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’
Chicago, IL
June 4, 2019
Agenda
8:30 a.m. – 9:00 a.m.
Registration
Continental Breakfast
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Vetting New Products and Supervising Complex Products
Review and discuss sound practices for vetting new and
June 4th, 2019
9 a.m. - 1:30 p.m.
FINRA District Office
55 West Monroe Street
Chicago, IL 60603
(312) 899-4400
Topics
Vetting New Products and Supervising Complex Products
Outside Business Activities and Private Securities Transactions
Register - $195
San Diego, CA
August 9, 2018
Agenda
8:30 a.m. – 9:00 a.m.
Registration
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Social Media and Digital Communications Compliance
Discuss the content and supervision standards that apply to all electronic
