SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
A member firm that routes an unsolicited customer order for a variable life settlement to another member firm that is permitted to engage in such activity would not constitute a material change in the routing firm’s business operations that would require it to file a continuing membership application, provided that the stated conditions are satisfied.
(a) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member knows or should have known of the existence of any of the following:
(1) the member or an associated person of the member:
(A) has been found to have violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct
New Alert-Reporting Criterion for Leverage in FOCUS Reports
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
The May 18, 2015 version of the OATS Reporting Technical Specifications includes changes to support the capture of more granular information about when an order is eligible to trade. Specifically, a new Trading Session Code has been added that will identify the specific market session(s) during which an order is eligible to trade. Firms will provide this new Trading Session Code in the existing
