May 12, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate SecretaryFINRA 1735 K Street Washington, DC 20006 Re: Request for Comment on Regulatory Notice 25-05 Dear Ms. Mitchell,I am an Investment Advisor Representative of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment the newly proposed
Activities requiring registration as an Equity Trader.<br/>
ATS NAMEATS IDFIRM NAME6732 ExemptionBGC FINANCIAL, L.P.BGCXBGC FINANCIAL, L.P. BONDSPROBNDSBONDS.COM LLC BrokerTecIEBCBROKERTEC AMERICAS LLC BROKERTEC AMERICAS LLCIEBDBROKERTEC AMERICAS LLC CBOE FIXED INCOME MARKETS, LLCCFIMCBOE FIXED INCOME MARKETS, LLC CLARITY BIDRATE ALTERNATIVE TRADING SYSTEMCLRTARBOR RESEARCH & TRADING, LLC
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
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Executive Summary
In May 1993, the NASD published Notice to Members 93-30, which set forth, in question and answer format, certain guidelines for compliance with recent amendments to the Securities and Exchange Commission (SEC) Net Capital Rule, Rule 15c3-1. The SEC adopted the amendments,
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.Fundamental to the fiduciary relationship that exists between our firm and our clients is the trust that our clients have that their
Comment Period Expires: August 28, 1995
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Legal & Compliance
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Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or disqualified
Data Definitions for Treasury Securities. Data fieldDefinitionWhy we share this dataBenchmarkIdentifies the bond’s benchmark type/term.So that investors can know the bond benchmark.Coupon RateA coupon rate is the annual interest rate paid by the issuer to you when you hold a bond that you have purchased. These interest payments are generally made semiannually, although some bonds may pay
