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FINRA member firms have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities to a FINRA facility. The TRACE, ADF and ORF facilities are accessed by completing a FINRA Participation Agreement (FPA). Firms are also able to establish web users of the TRAQS web application by completing the FINRA Order Form.
The Participant Data
(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a
During the span of employment, it’s not uncommon for two situations to arise with respect to retirement savings: the potential need to borrow from your retirement account, and a change in employer that raises the question of whether to roll your assets into a new plan or an IRA.
Loans
If you need cash, you might be tempted to borrow from your employer-sponsored plan rather than applying to a
Below are form layout templates for firms that use the import feature in eFOCUS to file their FOCUS filings.
Please note that the template headers, columns, and line item IDs provided should not be modified or removed, as this will impact the compatibility of the import templates in the system.
Additionally, fields adhere to certain input formatting, such as text fields, numeric fields, or
As a public service organization entrusted with safeguarding America’s investors and ensuring a vibrant market that works for everyone, responsible citizenship is embedded in everything we do at FINRA. These responsibilities dictate that we act in ways that strengthen our workplace, our industry and our communities.
We have centered our corporate social responsibility program
(a) A member or person associated with a member may appeal a determination to declare a transaction null and void made by a FINRA officer under Rule 11892 to the UPC Committee, unless a decision is made by a FINRA officer under Rule 11892.02 regarding transactions that occurred outside of the applicable Price Bands disseminated pursuant to the LULD Plan, and further provided that rulings made by
(a) Notice of Suspension, Cancellation or Bar
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to pay any fees, dues, assessment or other charge required to be paid under the FINRA By-Laws or rules, or to submit a required report or information related to such payment, FINRA staff may issue a written notice to such member or person stating
(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members
Amount of Claim
(exclusive of
Please note, FINRA is restating the 144A High Yield Market Breadth and Market Sentiment End of Day numbers for Wednesday November 13, 2019.
The tables with the correct numbers are below. We apologize for any inconvenience.
FINRA TRACE Market Aggregate Information – 144A
FINRA TRACE Bond Market Activity
144A
All Issues
Investment Grade
High Yield
Convertible
Total Issues
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Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of