Displaying 34381 - 34390 of 34814 Results
E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.K. WALLACE SECURITIES LLC25 WEST 13TH STREET, APT. 1AN, NEW YORK
D-MERC SERVICES375 BALSAM ST, LAKEWOOD, CO 80226D. B. MCKENNA & CO., INC.207 WEST MAIN STREET, BENNINGTON, VT 05201-2108D.A. DAVIDSON & CO.8 THIRD STREET NORTH, GREAT FALLS, MT 59401-3104Mailing Address: P.O. BOX 5015, GREAT FALLS, MT 59403-5015D.E. SHAW SECURITIES, L.L.C.1166 AVENUE OF THE AMERICAS, 9TH FLOOR, NEW YORK, NY 10036D.H. HILL SECURITIES, LLLP1543 GREEN OAK PLACE,
(a) Application of FINRA Rule 9000 Series (Code of Procedure) to Funding PortalsExcept for the FINRA Rule 9520 Series, FINRA Rule 9557, FINRA Rule 9561, and the FINRA Rule 9700 Series, all funding portal members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:(1) the term "member" as used in the FINRA Rule 9000 Series shall
In many cases, an unforeseen emergency can derail your financial plans. However, there are steps you can take to soften the impact of an unexpected hit to your finances. Here are a few tips on how to prepare for and survive financial hardships.
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 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
When you retire, you leave behind many things—the daily grind, commuting, maybe your old home—but one thing you keep is a tax bill. In fact, income taxes can be your single largest expense in retirement.
SummaryEffective May 22, 2024, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $8.00 per million dollars in transactions to a new rate of $27.80 per million dollars in transactions.Finance-related questions should be directed to:Amanda Rath, Manager, Finance, at (240) 386-6637 or by
Currently, FINRA API users wishing to get access for TRACE, ADF, ORF, and TRF Reference Data are required to download a digital certificate and present verified user id and password credentials to access the API. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the API.FINRA will replace digital certificates with
The following charges shall be paid by participants for the use of the Trade Reporting and Compliance Engine ("TRACE"):System FeesTransaction Reporting FeesData FeesLevel I Trade Report Only Web Browser Access — $20/month per user IDLevel II Full Service Web Browser Access — Subscription for a single user ID or the first user ID — $50/month (includes one Data Set); $80/month (includes
The second-quarter corporate and agency data tables for the TRACE Fact Book are now available.