Displaying 751 - 760 of 34823 Results
Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
/**/
On January 16, FINRA convened its first ever RegTech Conference in New York City. Regulators, academics and innovators came together to discuss how technology is creating a new landscape for compliance efforts in financial services. New opportunities are quickly becoming available for industry participants and new challenges are arising for regulators. Issues like machine learning,
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.
If you have any questions, please contact us.
Chip Jones and Susan Schroeder discuss the 529 Plan Share Class Initiative. Under the program, firms can self-report to FINRA by April 1, 2019, supervisory violations related to 529 plan share-class recommendations and include a plan to remediate the issue; and in response, FINRA Enforcement will recommend that FINRA accept a settlement that includes restitution for the impact on affected customers and a censure, but no fine. (7 min. 33 sec.)
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
MSRB Rule G-19
MSRB Rule G-27
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 Chief
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