Testimony Before the Committee on Financial Services
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
Proposed Rule Change Relating to the Series 28 Examination Program
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Securitized Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternate Trading System), Interdealer, and Dealer-to-Dealer categories. The monthly data is published on the third business day following the end of the month.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Continuing Education Planning
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
FINRA is issuing this OATS Report to describe the new reverse linkage process and feedback for instances where OATS was unable to find the related Route Report or Execution Report for an OATS new order event, exchange order, or TRF/ADF/ORF trade report.
In addition to checking and savings accounts, your local bank may offer you investment accounts that you can use to save for college or retirement, insurance coverage for your home or your life, or annuities to help you generate retirement income.
