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Various updates.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $3.25 million for failing to provide the same information to all clients of its Alternative Trading System (ATS) relating to certain ATS services and features, and for related violations.
An ATS is a trading venue that executes trades in securities on behalf of broker-
Various updates.
Rulemaking items discussed at the December 2016 Board meeting include: Simplified Arbitration and Procedural Rules Concerning Eligibility Proceedings.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that J. Bradley (Brad) Bennett will leave FINRA early next year. Bennett has served as FINRA’s Chief of Enforcement for nearly six years, overseeing 300 enforcement staff in 14 district offices across the United States responsible for investigating potential violations of FINRA rules and securities laws. Susan
Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Proposed Rule Change to Amend FINRA Rules to Conform to the Commission’s Proposed Amendment to SEA Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-dealer Transactions from T+3 to T+2
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Starting January 3, 2017, if the parties jointly request an explained decision, FINRA will waive the $400 fee to the parties for an explained decision.