Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Day of Closure
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Federal Reserve Board Regulation T
FINRA Rule 4210
FINRA Rule 4230
FINRA Rule 4521
FINRA Rule 4524
SEA Rule 15c3-1
SEA Rule 15c3-3
SEA Rule 17a-5
Regulation SHO
Suggested Routing
Compliance
Legal
Margin Department
Operations
FINRA has updated the TRACE for Securitized Products Web API technical specification. A new code of "U", representing UMBS, has been added to the Issuing Agency Values in Appendix 8.
Note: None of the existing Web API data formats are impacted by this change.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Rulemaking Items for Discussion at the December 2013 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its September 2013 meeting.
FINRA Entitlement Privacy Statement: Regulatory Users of Web CRD and IARD
The Trading Examinations Unit (“TEU”) within the Trading and Market Making Surveillance (“TMMS”) group of the Market Regulation Department at FINRA is conducting a review of the Firm’s controls and processes in connection with the development and use of trading algorithms , as well as controls surrounding automated trading technology.
The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting.
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). For the purpose of this inquiry, the term “ATS” means an ATS operated by the Firm and/or any affiliate of the Firm that is utilized to route orders or other messages into or out of the ATS.
