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FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017. For details regarding this change, see Regulatory Notice 16-32.
FINRA President and CEO Robert Cook, Chairman of the Board Jack Brennan and Finance Committee Chair John Davidson review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board rulemaking actions is also available.
These report cards will help firms track their compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
To help firms monitor their reporting of TRACE-eligible securities, FINRA offers TRACE Quality of Markets Report Cards for Securitized Products, Corporate Bonds, and Agency Debt.
The report cards include the following features:
These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
These reports and report cards display summaries and statistics related to various risk factors, including canceled trades, sales practice and customer complaints, and more.
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|Continuing Education Regulatory Element Report|
These report cards support firms' compliance with Chicago Board Options Exchange and C2 Options Exchange rules.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other issues discussed at FINRA's September Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
July 27, 2016
Mr. Thomas S. Vales
Chief Executive Officer
TMC Bonds L.L.C.
850 3rd Avenue, 9th Floor
New York, NY 10022
Re: Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
Dear Mr. Vales:
FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's July Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
- Q1. Is a firm required to report on the OBS the market value of underwriting commitments entered into on a “best efforts” basis?
- A1. No. Underwriting commitments entered into on a “best efforts” basis are not required to be reported on the OBS.