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Ver en españolThis report addresses developments in FINRA’s Office of the Ombuds, our mission and role, how we help constituents, who contacted us in 2022, and topics they raised. This report also includes resources relating to those topics.To better serve our constituents, we offer assistance in both English and Spanish. As part of these efforts, and also to increase overall awareness about
It is commonly understood that for every transaction the terms of the exchange is known by both parties and executed faithfully to produce what we consider the stock market. Technology now allows for near instant transactions for market participants, therefore the due diligence of reporting that transaction to regulatory authorities should occur simultaneously with the transaction itself. This
THIS PAYMENT AGREEMENT (“AGREEMENT”) IS A LEGAL CONTRACT BETWEEN YOU AND THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (“FINRA”) AND SETS FORTH THE TERMS AND CONDITIONS GOVERNING THE PAYMENT OF ENROLLMENT FEES BY CREDIT CARD AND AUTOMATED CLEARING HOUSE (ACH). BY SELECTING THE "AGREE" CHECKBOX, YOU ACKNOWLEDGE THAT YOU ACCEPT THE TERMS OF THIS AGREEMENT.
The Maintaining
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:
Filing certain offering documents
Ensuring the suitability of any investments they recommend
Filing Requirements
Two FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms selling
TO: All NASD Members
Attention: Registration and Trading Departments
Control Data Corporation will be shutting down its PLATO computer system from Saturday, March 3rd, to Sunday, March 11th, to effect major hardware consolidations. To minimize scheduling problems during the period surrounding he shutdown, the NASD is extending the PLATO expiration dates of candidate enrollments expiring the week
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A second production User Acceptance Test (UAT) will occur on
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A production User Acceptance Test (UAT) will occur on Saturday
Beginning Monday, July 24, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps). FINRA will offer testing for the new bandwidth rate and will announce details for the test as the date approaches.
TDDS 2.1 subscribers are encouraged to plan to ensure their systems