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FINRA Small Firm Advisory Board Election
The FINRA test facility (NTF) will be unavailable for testing all FINRA Multi Product Platform (MPP) facilities, on Friday, August 29, 2014.
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's securities arbitration forum for all participants.
"FINRA's mission is to protect investors and support their confidence in
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that the Securities and Exchange Commission (SEC) has approved a new rule prohibiting firms and registered representatives from conditioning settlement of a customer dispute on—or otherwise compensating a customer for—the customer's agreement to consent to, or not to oppose, the firm's or representative
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2014 Annual Meeting today in Washington, DC. In accordance with FINRA By-Laws, firms elected two Governors, one from among the small firms and one from among the large firms. FINRA also named two new public Governors to its Board of Governors. Governors are appointed or elected
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Los Angeles-based Wedbush Securities Inc. for systemic supervisory and anti-money laundering (AML) violations in connection with providing direct market access and sponsored access to broker-dealers and non-registered market participants.
During the period at issue, Wedbush was
TRACE Data Delivery Plus Fee
FINRA assesses the TRACE Data Delivery Plus service fee per each MPID that the firm enrolls in the service. The firm's monthly fee is based on:
the average number of transactions the MPID was a party to* per month over the prior calendar year, which is used to categorize the MPID in one of 4 tiers, and
the number of "Plus" reports (reports for dates
ADF Data Delivery Plus
Firms that subscribe to ADF Data Delivery Plus pay a monthly fee for each MPID enrolled in the optional service. The monthly charge is based on the number of Plus reports the firm received during that month:
0 – 5 Plus Reports Received
6 – 25 Plus Reports Received
> 25 Plus Reports Received
$60
$80
$100
ADF Data Delivery SFTP
Firms that subscribe