Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to append modifiers to identify delayed Treasury spot and portfolio trades when reporting to FINRA’s Trade Reporting and Compliance Engine (“TRACE”).
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It's common for compliance specialists at firms to wonder “How do I report on my NRF people?”. For
Natalie Meyer is Senior Vice President, Chief Compliance Officer and Counsel in FINRA's Ethics and Compliance Office. In this role, Ms. Meyer oversees FINRA's Ethics, Compliance and Data Privacy Programs, as well as FINRA’s Oversight Liaison’s office. Additionally, Ms. Meyer is responsible for overseeing FINRA's Commercial Transactions Group in the Office of General
