FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued two Regulatory Notices requesting comment on two proposals related to its arbitration program: a proposal to expand the options available to investors when filing a claim in arbitration against an inactive firm or associated person, and a second proposal related to compensated non-attorney representatives that provide
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in personal losses. Protection of senior investors is a top priority for the Financial Industry Regulatory Authority (FINRA) and is the focus of several rules intended to thwart financial exploitation.
On May 14, 2018, amendments to FINRA Rule 2232 will take effect, which require a member firm to disclose on the customer confirmation the amount of mark-up or mark-down it applies for certain trades with retail customers in corporate or agency debt securities. Disclosed mark-ups must be calculated consistent with existing Rule 2121. With regard to the client confirmation requirements and
Due to a reference data file problem affecting TRACE MBS securities, transactions reported in these securities on Tuesday, April 3, 2018, between 8:00 a.m.ET and 11:49 a.m. ET were not disseminated via the SPDS and SPDS-144A data feeds.
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
This specification describes the message formats for The Nasdaq Stock Market, Inc., Computer-to-Computer Interface to disseminate TRACE trade reporting data.
This Father's Day, show Dad that when it comes to saving for the future, and keeping your finances in check, you've got it covered.
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
