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As previously announced FINRA delayed the implementation of the bandwidth increase rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed. The bandwidth is scheduled to increase from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
The new date for this implementation is now Monday, August 14, 2023.
Testing
FINRA will test the new bandwidth rate on
FINRA Foundation and First Nations Development Institute Publish In-Depth Analysis of Financial Capability of Native Americans
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) and First Nations Development Institute (First Nations) today published the nation’s most comprehensive analysis of the financial capability of American Indian/Alaska Natives, including the financial
WASHNGTON - The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that it has censured and fined New York-based Trillium Brokerage Services, LLC, $1 million for using an illicit high frequency trading strategy and related supervisory failures.
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A revised edition of the OATS
Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered
WASHINGTON—FINRA today announced it has censured and fined UBS Financial Services Inc. (UBS) $2 million for the firm’s repeated failures in timely addressing municipal short positions and in inaccurately representing the tax status of thousands of interest payments to customers. FINRA
SEC Regulation Best Interest sets forth the standard of conduct broker-dealers must provide to their retail customers when they make recommendations of securities or investment strategies involving securities. Form CRS is a relationship summary disclosure that broker-dealers and SEC-registered investment advisers must provide retail investors.
Firm Sanctioned for Failing to Reasonably Supervise Recommended Securities Transactions and Use of Consolidated Reports
WASHINGTON—FINRA announced today that it has sanctioned Summit Brokerage Services, Inc. (Summit) a total amount exceeding $880,000 for supervisory failures, including approximately $558,000 in restitution to customers whose accounts were excessively traded by a former
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Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE. FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. Firms reporting to TRACE via FIX