The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
FINRA plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023.
Currently, FIX Tag 60 (Transact Time) timestamps support up to microsecond precision (Format: YYYYMMDD-HH:MM:SS.sss.mmm); however FIX acknowledgement messages consist of only millisecond precision (Format: YYYYMMDD-HH:MM:SS.sss). The TRACE for Treasury Securities FIX Specification
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Members may now opt to use a new test, the Series 17 Limited Registered Representative Examination, to qualify some candidates as NASD General Securities Representatives. To be eligible, a candidate
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
Year 2000 Tips For Members Will Your Fax Machine Work?
As the millennium approaches, one of the areas all businesses should assess for Year 2000 readiness is their internal office equipment. Last month, Notices to Members provided information on how to check a PC (personal computer), and this month's tip for members involves preparing your fax machine for 2000. Firms should first contact
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