On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
Anti-Money Laundering
Accuracy of Net Capital Computations
Liquidity
Segregation of Client Assets
Operations Professional Registration
Customer Confirmations
DBAs and Communications with the Public
Best Execution
TRACE Reporting
Market Access Controls
Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s adjudicatory forum for disciplinary and
Elimination of Continuing Education Delivery at Testing Centers
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Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes certain requirements on firms that are designed to protect customer funds and securities. Firms that are obligated to maintain custody of customer
FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. Subject to SEC approval, beginning in early first quarter 2020, FINRA would no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting. Any client, including Service
Aging and illness can change many things in a person's life, including the ability to manage one's own money. Learn five steps that can help you prepare in the event that diminished financial capacity becomes a serious problem for you or your loved ones.
