Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
1. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), what is the format of the LTID and the optional suffix?
2. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), how should Unidentified Large Traders be designated?
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Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
Question 1
Does FINRA Rule 3210 impose any requirement as to what specific information or data an employer member must review or monitor upon receiving duplicate copies of confirmations and statements, or the transactional data contained therein, with respect to an account subject to the rule?
Answer
No. FINRA Rule 3210 does not by its terms specify what specific information or data the
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
