Public GovernorFormer CEO, CalSTRSGovernor Since 2018Committees: Compensation & Human Capital Committee, Conflicts Committee, Finance, Operations & Technology Committee, Investment Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceCEO, CalSTRS (2002 – 2021)Vice President, Great-West Life & Annuity Insurance Company (2000 – 2002)Colorado Public Employees
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
The Neutral Corner – Volume 1—2024
TRACE Reporting Timeframes and Transparency Protocols1Type of TRACE-Eligible SecurityOther Transactions - Reporting TimeframesList or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting TimeframeTransparency2Corporate Bond (see FINRA Rule 6710(a))Within 15 minutes of time of execution (see
A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing
In recognition of Financial Literacy Month, FINRA is highlighting five steps you can take to boost financial capability—both your own and that of others you care about. Whether you’re looking to build your own base of financial knowledge or are seeking ways to help others, FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
Data Definitions for Treasury Securities. Data fieldDefinitionWhy we share this dataBenchmarkIdentifies the bond’s benchmark type/term.So that investors can know the bond benchmark.Coupon RateA coupon rate is the annual interest rate paid by the issuer to you when you hold a bond that you have purchased. These interest payments are generally made semiannually, although some bonds may pay
As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA will implement this change on Monday, March 11, 2024; previously it was scheduled for February 26, 2024. Clients may continue to test in NTF through Friday, March 8, 2024.NTF: Available through Friday, March 8,
