19-02983.pdf
NWAWD-New Code Award Template
Technical NoticeUpdate - FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)
July 15, 2020
FINRA has resolved the issue affecting the forms filings.
Firms should contact FINRA Market Operations or call 866.776.0800 with questions regarding this issue.
Regulatory Notice 20-24
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the day (i.e., a “delayed Treasury spot trade”) and report the time at which the spread was agreed upon; and (2) identify corporate bond trades that are a part of a larger portfolio trade.
Technical NoticeFINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)
July 15, 2020
Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing in the FINRA Firm Gateway will incur an error.
Firms should contact FINRA Market Operations or call (866) 776-0800 with questions or for assistance in setting up new issues. FINRA will advise when this issue has been resolved.
2019062680701 Zahir H. Kanji CRD 2831526 AWC va (2020-1597450769948).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062680701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Zahir H. Kanji, Respondent Investment Company and Variable Contracts Representative CRD No. 2831526 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Zahir H. Kanji submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
