Displaying 1351 - 1360 of 1585 Results
FINRA Gateway Release Notes (2020-2022)
Date Feature Description December 15, 2022 Requests and Filings Filters: Re-design in the layout Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter Mapped the Type filters under their associated “parent” Category filters Enabled the multi-select capability under each
Regulatory Notice 19-12
Summary FINRA requests comment on a proposed pilot program to study changes to corporate bond block trade dissemination based on recommendations of the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC or Committee). Specifically, the proposed pilot is designed to study two primary changes recommended by the FIMSAC: an increase to the
Testimony Before the Permanent Subcommittee on Investigations
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
Third Amended and Restated Limited Liability Company Agreement of the FINRA/NASDAQ Trade Reporting Facility LLC
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
Trade Reporting Frequently Asked Questions
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
Notice To Members 91-20
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
Notice To Members 93-77
SUGGESTED ROUTING Senior Management Legal & Compliance Operations Executive Summary The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
Regulatory Notice 10-45
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Notice To Members 95-2
SUGGESTED ROUTING Senior Management Corporate Finance Government Securities Institutional Internal Audit Legal & Compliance Municipal Mutual Fund Operations Training Executive Summary The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred
Notice to Members 02-45
Alternative Display Facility SUGGESTED ROUTING KEY TOPICS Senior Management Legal & Compliance Operations Trading Market Making Executive Summary On July 24, 2002, the Securities and Exchange Commission (SEC)