Publication Date: February 23, 2023Interpretations are marked in blue background beneath the rule text to which they relate.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).15c3-1d(a) Introduction.15c3-1d(a)(1) This appendix sets forth minimum and non-exclusive requirements for satisfactory subordination agreements (hereinafter “subordination agreement”). The
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Summary
FINRA requests comment on a proposed pilot program to study changes to corporate bond block trade dissemination based on recommendations of the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC or Committee). Specifically, the proposed pilot is designed to study two primary changes recommended by the FIMSAC: an increase to the
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
For service members, a missed credit card payment might do more than just ding their credit report, it could also jeopardize a hard-fought promotion. And for their spouses, move after move might be more than just a logistical hardship, it might also be the biggest hurdle in their own career growth. The FINRA Foundation Military Spouse Fellowship Program is just one program that is aiming to address both challenges.
Posted: April 12, 2019
Holiday Reminder
The TRF Systems will be closed on Friday, April 19, 2019. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of TRF data, should take the necessary precautions to prevent data corruption. Thank you for your attention to this
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Executive Summary
Effective April 1, 1997, tier sizes for 692 Nasdaq National Market® securities will be revised in accordance with NASD®Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284