(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
Do you own bonds or have money invested in a bond fund? If so, now is a good time to brush up on two factors that can affect bond prices and fund returns: interest rate changes and a bond's duration.
The Dispute Resolution Portal (DR Portal) is a self-service system that allows participants in an arbitration or a mediation to log into a secure area of our website so they can submit documents and manage case information.
The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Beginning Jan. 1, 2023, FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold. To provide sufficient time to review the Regulatory Element topics for each
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization.
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.For detailed information, refer to the following pages:FINRA Entitlement Reference GuideFINRA Entitlement Program Frequently Asked QuestionsFINRA Entitlement ProgramThe
Use the New Organization SAA Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program.
