#block-sharethis-sharethis-block
{
display:none
}
.videoWrapper {
position: relative;
padding-bottom: 56.25%; /* 16:9 */
padding-top: 25px;
height: 0;
}
.videoWrapper iframe {
position: absolute;
top: 0;
left: 0;
width: 100%;
height: 100%;
}
Our third Small Firm Report took place on Tuesday, November 27. FINRA Chief Executive Officer Robert Cook, was joined by Senior Vice President
The FINRA Board of Governors meets this week in New York for the final time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1
When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.
Open the Excel file provided in the
As previously announced in Nasdaq Equity Trader Alert # ETA2018-63, effective September 1, 2018, a new category of participant on the FINRA/Nasdaq Trade Reporting Facility (or “FINRA/Nasdaq TRF”)1 was established for purposes of trade reporting fees under FINRA Rule 7620A – the Retail Participant. The Retail Participant Program is designed to better align and tailor retail pricing to the profile
Second Annual Report Is the Latest Compliance Resource for Firms Resulting from FINRA360
WASHINGTON – FINRA today published its 2018 Report on FINRA Examination Findings, its second annual report detailing observations from recent exams of firms. The report is the latest resource FINRA makes available to firms as a result of its ongoing organizational improvement initiative, FINRA360.
The 2018
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Day of Closure
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Federal Reserve Board Regulation T
FINRA Rule 4210
FINRA Rule 4230
FINRA Rule 4521
FINRA Rule 4524
SEA Rule 15c3-1
SEA Rule 15c3-3
SEA Rule 17a-5
Regulation SHO
Suggested Routing
Compliance
Legal
Margin Department
Operations
FINRA has updated the TRACE for Securitized Products Web API technical specification. A new code of "U", representing UMBS, has been added to the Issuing Agency Values in Appendix 8.
Note: None of the existing Web API data formats are impacted by this change.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule.
