SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
There are three ways to register: online, fax, or mail.
What is deemed "complex"????....A regulators job is to ensure proper disclosure and the integrity of what they regulate. Risk is part of investing/ markets and consumers deserve innovative products to choose from. To some Bitcoin is complex. Do not take innovation out of our financial markets. Investors want the "freedom to choose" from a variety of products
FINRA is conducting an inquiry regarding incentives for broker-dealer ("firm") employees to:
Effective Monday, July 10, 2017, FINRA member firms will be required to report transactions executed in Treasury securities (Treasuries) to TRACE as per Regulatory Notice 16-39.
The Treasury transaction message formats closely resemble the current TRACE Corporate format, with some differences, most notably:
The Trading Market Indicator, and existing P1 and S1 designations, will not be
On Monday, March 20, 2017, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
Fingerprint results are posted to an individual’s CRD record typically within 24-36 business hours after FBI receipt.Entitled users can view the status of fingerprint submissions in FINRA Gateway and CRD by selecting the Show Statuses button and accepting the special Terms and Conditions to view the FBI results. Viewing Criminal History Record Information (CHRI) requires the additional “View CHRI
