Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit member alternative trading systems (ATSs) and ATS subscribers additional flexibility in transitioning to disaggregated reporting by April 12, 2019.
Im asking the SEC as I do have a right of freedom to invest in crypto currency as much as I want and they do not have the right to put any kind of regulation into it. I vote against that SEC rule #S7-24-15 I oppose restrictions to my right to invest
The American people need to take back our constitutional rights from the corrupt federal government before Its too late. I'm sick and tired of the wealthy making all the rules just for them and not for the people at the bottom this is got to stop immediately
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On June 11, 1993, the Securities and Exchange Commission (SEC) approved a new Section 11 of the Uniform Practice Code (UPC) requiring book-entry settlement of transactions in depository-eligible securities effected between member firms and between member firms and certain of their customers.
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
As we observe National Consumer Protection Week amid a changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from scams. On this episode, a member of the FINRA Investor Education Foundation team joins us to talk about how we can all become more informed and vigilant in today's complex financial world.
This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.
