Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
These days many investors are trading online, whether through the Internet or through other electronic means, such as a mobile app. This may sound pretty straight forward, but there continues to be some common misconceptions about online trading. Here are four myths in need of busting.
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On May 29, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc.(NASD®) Rule 3110 (the Books and Records Rule) that (i) change the definition of "institutional account" to include the accounts
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
Maintaining Your Registration Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm’s policies to maintain your registration
