FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Executive Summary
FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Division of Trading and Markets (SEC staff). The updated interpretations are with respect to Securities Exchange Act (SEA) Rules 15c3-1 and 15c3-3.
Questions concerning this Notice should be
Covered Agency Transactions
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Margin Department
Operations
Regulatory Reporting
Risk Management
Senior Management
Key Topics
Covered Agency Transactions
Margin
Referenced Rules & Notices
FINRA Rule 4210
Regulatory Notice 16-31
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
Tigran Khrimian is Chief Technology Engineering Officer responsible for driving technology strategy, enhancing product development, fostering innovation, and ensuring technological capabilities align with FINRA's business goals.Mr. Khrimian oversees a portfolio of 200+ products, exabyte scale data footprint in the Cloud and AI to analyze and extract insights from the data. He played a
TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
Summary
FINRA is updating the text of the Securities Exchange Act (SEA) financial responsibility rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of a rule change that the Securities and Exchange Commission (SEC) adopted.1 The SEC’s rule change, amending paragraph (e)(1)(i)(A) of SEA Rule 17a-5, relates to a specified exemption with regard to the
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Guidance on FOCUS Reporting for Operating Leases
