FINRA has updated the Financial Information eXchange (FIX) and Computer-to-Computer Interface (CTCI) specifications for reporting OTC equity trades to the new OTC Reporting Facility (ORF) platform. Reporting to the new platform will become effective on Monday June 2, 2014.
The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
Proposed Rule Change to Revise the Series 26 Examination Program
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust one of the thresholds required to qualify for the Media/Contra fee cap under FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees).
Investor trust and confidence have plummeted to historic lows. But if there is a silver lining amidst these dark clouds, it is that the turmoil creates an opportunity to “fix the plumbing” of the U.S., and global, regulatory architecture – patching the leaks, but also modernizing the piping in such a way to promote market stability and investor confidence, and lay the groundwork for renewed growth and stability.
FINRA develops Investor Insights and other content in order to help educate investors about important investing issues. FINRA encourages other companies and organizations to link to this content or to place this content directly on their websites in accordance with outlined guidelines. Requestors must obtain permission in writing from FINRA prior to reprinting FINRA copyrighted materials.
