As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, May 17, 2021.&
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, July 26, 2021. On this day, the
Charges, if any, for services performed, including, but not limited to, miscellaneous services such as collection of monies due for principal, dividends, or interest; exchange or transfer of securities; appraisals, safe-keeping or custody of securities, and other services shall be reasonable and not unfairly discriminatory among customers.
Amended by SR-FINRA-2014-049
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A final production User Acceptance Test (UAT) for
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A production User Acceptance Test (UAT) for
Have you ever thought about how online stock trading works? Once you hit enter on an order to buy or sell a stock, what happens next? There might be more steps in the stock trade process than you realize.
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
