Monthly Disciplinary Actions June 2019
Monthly Disciplinary Actions April 2019
This is a reminder that starting Monday, June 3, 2019, FINRA will support the code of "U", (Mortgage Backed ((MBS)) UMBS securities) as an Issuing Agency in the FINRA Securitized Products API MBS RDID Master and MBS RDID Daily List Files. Appendix 8 of the Securitized Products Web API Specification lists this value along with other Issuing Agency values.
Note: This addition does not
If you are not a FINRA Regulatory Filing Applications Account Administrator:
Contact your firm's Regulation Filing Applications Account Administrator, and request that the Administrator add the Customer Margin Balance Form entitlement to your FINRA user account.
If you do not have a FINRA user account, your firm’s Regulation Filing Applications Account Administrator can create one for you
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rules 6110 and 6610 to expand the summary firm data relating to over-the-counter (“OTC”) equity trading that FINRA publishes on its website.
Summary
Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products. The new requirements for initial and maintenance margin are detailed below.
In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio
Neutral Corner - Volume 2—2019
Mission Statement
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Removal of Initial Prehearing Conference Order PDF from FINRA's Website
Register for the Portal Today
Portal How-to Videos
Practising Law Institute: Securities Arbitration 2019: September 10, 2019
SEC Rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
Quality of Markets Violations
• ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B
• Backing Away
• Best Execution and Interpositioning
• Confirmation of Transactions (SEC
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervisory Procedures—Deficient Written Supervisory Procedures
Disqualified Persons—Failure to Discharge Supervisory Obligations
