(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $75.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $75.00 branch office system processing fee (where such fees have been assessed
(a) Initial Covered Securities Loans (1) When and How Initial Covered Securities Loans Are Reported For Initial Covered Securities Loans, Covered Persons must report the information specified in paragraph (a)(2) of this Rule to SLATE, as provided in this paragraph (a)(1): (A) An Initial Covered Securities Loan effected on a business day at or after 12:00:00 a.m. Eastern
(a) Next Day Dissemination For each Initial Covered Securities Loan and Loan Modification reported to SLATE on a given business day, no later than the morning of the next business day, FINRA will make publicly available: (1) for an Initial Covered Securities Loan, the unique identifier assigned by FINRA to the Covered Securities Loan; (2) for a Loan Modification, the
As market conditions may warrant, in consultation with the SEC, FINRA may suspend the reporting or dissemination of certain Covered Securities Loans, or the reporting of certain Data Elements or Confidential Data Elements or the dissemination of certain Data Elements for such period of time as FINRA deems necessary.Adopted by SR-FINRA-2024-007 eff. Jan 2, 2026.
(a) Mandatory Participation(1) Pursuant to SEA Rule 10c-1a, participation in SLATE is mandatory for purposes of reporting Covered Securities Loans. Such mandatory participation obligates a Covered Person to submit Covered Securities Loan information to SLATE in conformity with SEA Rule 10c-1a and the FINRA Rule 6500 Series.(2) Participation in SLATE shall be conditioned upon the SLATE Participant
For the purposes of this Rule 6500 Series, the following terms have the following meaning:(a) “Confidential Data Element” means an item of information that a Covered Person must report under SEA Rule 10c-1a(e) and FINRA Rule 6530(a)(2)(M) through (U).(b) “Custodian” means a Broker or Bank that is providing safekeeping or custody services as described in Exchange Act Section 3(a)(4)(B)(viii)(I)(aa
ul.rulebook{list-style-type:none;padding-left:0px;}
ul.rulebook ul.rulebook{list-style-type:none;padding-left:30px;}
ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:60px;}
ul.rulebook ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:90px;}
ul.rulebook li{margin-top:20px;text-transform:uppercase;font-weight:400}
#tab-links, .book{display:none;}
6100.
(a) CAT Industry Member Fees (1) Fee Assessments(A) Historical CAT Assessment 1.(i) Each CAT Executing Broker shall receive its first invoice for Historical CAT Assessment 1 in November 2024, which shall set forth the Historical CAT Assessment 1 fees calculated based on transactions in October 2024, and shall receive an invoice for Historical CAT Assessment 1 for each
