(a) Making Other Discovery Requests
(1) Parties may also request additional documents or information from any party by serving a written request on the party. Requests for information are generally limited to identification of individuals, entities, and time periods related to the dispute; such requests should be reasonable in number and not require narrative answers or fact finding.
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
We are at a cross roads as an economy, thus as a country. Hedge funds and other similar large corporate entities have an unfair advantage in the market, and has acted to the detriment of the health of our economy as a whole. Loose rules related to the reporting of short interest and FTDs(fail to deliver) has created an environment that allows hedge funds and the like to take advantage of retail
The Observations on Liquidity and Credit Risk Management section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
(a) General Telemarketing Requirements
No member or person associated with a member shall initiate any outbound telephone call to:
(1) Time of Day Restriction
Any residence of a person before the hour of 8 a.m. or after 9 p.m. (local time at the called party's location), unless
(A) the member has an established business relationship with the person pursuant to paragraph (m)(12)(A),
(B)
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
By Karen Braine, Vice President, Surveillance and Market Intelligence, Insider Trading DetectionFINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide — over 450 referrals in 2023 alone — routinely result in criminal and
The Disclosure of Routing Information section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
