Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
Summary
Recently, FINRA has received reports of member firms receiving telephone calls from persons claiming to work for FINRA in an attempt to deceive firms into revealing confidential information. FINRA is notifying firms that these individuals may be impersonators. Firms that receive telephone calls or emails purportedly from someone at FINRA requesting any type of information—confidential or
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
Summary
Effective May 22, 2018, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $23.10 per million dollars in transactions to a new rate of $13.00 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637
The 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 file is produced after the TRACE system closes and is separately available for each Real-Time TRACE transaction data set (i.e., the Corporate Bond Data Set, Agency Data Set, SP Data Set, and Rule 144A Data Set).Any party wishing to
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Summary
Effective July 4, 2017, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $21.80 per million dollars in transactions to a new rate of $23.10 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-
