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TRACE BTDS Specification
TRACE BTDS Specification - version 4.7Published February 18, 2022
TRACE BTDS Specification - version 4.8Effective May 15, 2023
Version 3.0 - 4.6
TRACE ATDS Specification
TRACE ATDS Specification - version 3.7Published February 18, 2022
TRACE ATDS Specification - version 3.8Effective May 15, 2023
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues – supervision, risk management and controls; and liquidity. The letter also emphasizes firm culture, conflicts of interest and ethics, and the significant role each of these plays in the way a firm conducts its business.
FINRA cites
(a) Except as provided in paragraph (b), no member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer unless, prior to opening the account, the member has furnished to each customer, individually, in paper or electronic form, the disclosure statement specified in this paragraph (a). In addition, any member
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Berthel Fisher & Company Financial Services, Inc. and its affiliate, Securities Management & Research, Inc., of Marion, Iowa, a combined $775,000 for supervisory deficiencies, including Berthel Fisher's failure to supervise the sale of non-traded real estate investment trusts (REITs), and leveraged and inverse exchange-traded funds (ETFs).
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Thursday, November 11, 1993, and Thanksgiving Day, Thursday, November 25, 1993. On Thursday, November 11, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it
Board Approves Rulemaking Items and Annual Financial Report; Appoints New Members to Advisory Committees
WASHINGTON—FINRA’s Board of Governors held its second meeting of the year on May 11-12 in Fort Lauderdale, FL—near the organization’s Boca Raton office, the home of FINRA’s Securities Helpline for Seniors. The Board approved three rulemaking items and took action on three items related to
FINRA today issued a new Investor Alert—Tools of the Fraud Trade: Phones and Emotions—to warn investors not to send money or provide personal information associated with a widespread Internal Revenue Service impersonation scam that is timed to coincide with the recent deadline for anyone who filed a federal tax extension this past April.
Board Approves 2020 Annual Financial Report; Adopts Advisory Committee Term Limits in Support of Greater Diversity and Inclusion
WASHINGTON – FINRA’s Board of Governors met on May 18-19, 2021. During the meeting, the Board approved FINRA’s 2020 Annual Financial Report, which—for the first time—will include a section on human capital describing the diversity of the self-regulatory organization’s
Summary
The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
