Fixed Income Report Cards Demonstration (On Demand)
Original Program Date: October 22, 2015
On this free, on-demand recording of a WebEx presentation, FINRA staff members discuss new and updated fixed income-related Report Cards. It provides an overview of these Trade Reporting and Compliance Engine (TRACE) and municipal report cards, presents the features and benefits of each, and includes suggestions for how firms can use them to support their compliance activities. FINRA also highlighted the implementation of a monthly member outreach program relating to report card statistics.
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