Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of January 7, 2019 (Tier 1) and the week of December 24, 2018 (Tier 2). The issue has now been resolved and all files and data have been published.
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529 Plans
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Registered Representatives
Senior Management
Key Topics
529 Plans
Share Classes
Suitability
Supervision
Referenced Rules & Notices
Fines to be Waived for Firms Notifying FINRA by April 1; Initiative Stresses Restitution and Rapid Remediation
WASHINGTON – FINRA today announced via Regulatory Notice 19-04 a self-reporting initiative to promptly compensate harmed investors and promote firms’ compliance with the rules governing the recommendation of 529 savings plans. Under the 529 Plan Share Class Initiative (529 Initiative),
WASHINGTON –Institutional orders routed by brokers that send a relatively high percentage of such orders through affiliated alternative trading systems (ATSs) tend to receive lower order fill rates and higher execution costs, according to a new
OCE Working Paper: Institutional Order Handling and Broker-Affiliated Trading Venues
by FINRA’s Office of the
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
August 22, 2003Firms have several options now available to them for the transmission of OATS data, which must be transmitted electronically to NASD by 4:00 a.m. the morning after a particular market day. There are currently four reporting mechanisms as detailed below. Firms are responsible for reporting in a timely manner and for monitoring and repairing rejections.Private Network - Firms may
Notice of SFAB Election
and Ballots
