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Technical Notice
Reminder UMBS Issuing Agency
May 09, 2019

This is a reminder that starting Monday, June 3, 2019, FINRA will support the code of "U", (Mortgage Backed ((MBS)) UMBS securities) as an Issuing Agency in the FINRA Securitized Products API MBS RDID Master and MBS RDID Daily List Files. Appendix 8 of the Securitized Products Web API Specification lists this value along with other Issuing Agency values.

Note: This addition does not affect any of the existing formats in the Web API or any of the current TRACE trade reporting requirements.

CAT Connectivity Testing Opens

Connectivity Testing Opens:

Connectivity Testing opens for CAT Large and Small Industry Members that are OATS Reporters

SR-FINRA-2019-018

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to make technical and other non-substantive changes within FINRA rules.

District Compliance Event: District 7 Event to be held in Atlanta, GA

Cost: Free

Topics include:

SEC and FINRA Examination and Regulatory Priorities
FINRA Update: Rules, Initiatives and Observations
Supervision of High Risk Activities

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

CAT Production Environment Opens

Production Environment Opens:

The Production Environment opens for CAT Large and Small Industry Members that are OATS Reporters

CAT Test Environment Opens

Test Environment Opens:

The Test Environment opens for CAT Large and Small Industry Members that are OATS Reporters

CAT Registration Deadline

CAT Registration:

Initial CAT Registration will run from March 18 - June 27, 2019. All current Industry Members with a CAT reporting obligation should register during that window.

District Compliance Event: District 9B Event to be held in Morristown, NJ

Cost: Free

Topics are TBD.

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

District Compliance Event: District 7 Event to be held in Charlotte, NC

Cost: Free

Topics include:

SEC and FINRA Examination and Regulatory Priorities
FINRA Update: Rules, Initiatives and Observations
Supervision of High Risk Activities

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

District Compliance Event: District 9B Event to be held in Rochester, NY

Cost: Free

Topics include:

Qualification and Registration Requirement Changes
FINRA Enforcement Updates and Recent Cases
AML and Regulatory Notice 19-18

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

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