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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) proposed rules addressing the financial exploitation of seniors and other vulnerable adults. FINRA is proposing amendments that would require firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer's
INFORMATIONAL
NYSE Series 7 Examination
SUGGESTED ROUTING
KEY TOPICS
Registration
Examinations
Fees
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The New York Stock Exchange, Incorporated (NYSE) has
Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Implementation Date Set for July 10, 2017
WASHINGTON — The Securities and Exchange Commission has approved FINRA’s proposal to require its members to report certain transactions in Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (TRACE). FINRA has set July 10, 2017 as the implementation date.
The requirement will apply to all Treasury securities except savings bonds. At
Effective Monday, July 10, 2017, FINRA member firms will be required to report transactions executed in Treasury securities (Treasuries) to TRACE as per Regulatory Notice 16-39.
The Treasury transaction message formats closely resemble the current TRACE Corporate format, with some differences, most notably:
The Trading Market Indicator, and existing P1 and S1 designations, will not be supported
On Monday, March 20, 2017, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
INFORMATIONAL
OTC Bulletin Board
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Trading & Market Making
OTC Bulletin Board
Eligibility Rule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System (OATS) reporting, books and records, and related supervisory violations that occurred over a period of several years.
FINRA uses trade reporting and OATS data as an integral part of its
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions