FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
Exchange Act Sections 3(a)(10), (12), (29) and (42)
FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710
NASD Rules 1021, 1022, 1031, 1032 and 1050
SEA Regulation NMS
Phone-In Workshop Recording
Original Program Date: Monday, July 10, 2017
The SEC’s Regulation Crowdfunding went into full effect in May 2016. During this 60-minute phone-in workshop recorded in July 2017, FINRA and SEC staff answered frequently asked questions from funding portal members and others about Regulation Crowdfunding and FINRA’s Funding Portal Rules. During the call, staff from FINRA
December
Total Trades
Total Par Value (000s)
Average
Daily Trades
Average Daily
Par Value (000s)
CORP
1,236,998
496,264,596
65,105
26,119,189
CONV
20,672
18,967,101
1,088
998,268
CHRC
1,280
10,023
67
528
ELN
24,283
2,121,303
1,278
111,648
AGCY
39,819
69,
In the unlikely event of a system-wide failure, FINRA will use the following resources to alert members.
Summary
FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360
On April 16, 2018, FINRA will be upgrading Axway Secure Transport in the Production (PD) environment from the current version of 5.1 to version 5.3.
FINRA has launched two new TRACE data products: the End-of-day TRACE Transaction File and the TRACE Security Activity Report.
The new End-of-Day TRACE Transaction File is a daily file that includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File will be provided to subscribers after the TRACE system closes at the
Proposed Rule Filing Relating to Simplified Arbitration
