Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to September 1, 2021. FINRA Rule 0180 temporarily limits, with certain exceptions, the application of FINRA rules with respect to
Summary
FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.
Questions concerning this Notice should be directed to:
Michael Garawski, Associate General
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
View the recorded sessions from the 2019 FINRA Regulation Best Interest Conference.
For technical questions, please call (800) 321-6273.
FINRA's
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
The FINRA Test Facility (NTF) is now available for testing all FINRA Multi Product Platform (MPP) products.
Please contact FINRA Operations or call (866) 776-0800 with questions regarding this notice.
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. As announced in August 2018, beginning in early first quarter 2020, FINRA will no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting. Any client, including Service
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
Blue Sheet Data
Electronic Blue Sheet (EBS) data files, which contain both trading and account holder information, provide regulatory agencies with the ability to analyze a firm’s trading activity. Firms are expected to provide complete, accurate and timely Blue Sheet data in response to regulatory requests. Incomplete, inaccurate and untimely Blue Sheet data compromises regulators’ ability to
On October 20, 2020, the Election Notice and ballots to elect Regional Committee members for District 2 (the only contested race) were mailed to executive representatives of FINRA member firms in District 2. Ballots must be returned no later than November 19, 2020. Newly elected committee members will take office in January 2021. Ballots were not mailed for uncontested seats.
Candidates
Each
