Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
FINRA is reviewing retail municipal securities transactions. In connection with this review, we request your firm to produce the following information relevant to retail customer municipal transactions by your firm for the period from January 1, 2009 through March 31, 2009.
The FINRA Board of Governors will consider the following rulemaking items at its February 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
This free, 90-minute online training session focused on the features and functionality of the TRAQS website for TRACE reporting. It introduced users-especially staff with limited exposure to TRACE-to TRAQS and how the functionality can be utilized for TRACE reporting and management of reported transactions.
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases; Effective Date: November 24, 2008
