Imagine a new age of regulation in which compliance efforts were highly effective, and were also inexpensive. This seeming alchemy is coming to financial services in the form of new-generation “regtech.”
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 6897(b) (CAT Cost Recovery Fees) to implement a Consolidated Audit Trail (“CAT”) cost recovery fee designed to permit FINRA to recoup its designated portion of the reasonably budgeted CAT costs of the National Market
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 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National Market System Plan Governing the Consolidated Audit
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
SEC Approves Consolidated Telemarketing Rule
Keep it up, implement, even add more/stricter. Our finical system needs more transparency or (i fear) it wont survive the coming decade as the populous become increasingly aware of all the loopholes the 0.01%, funds, and corporations thrive on.
hello, i invest regularly, daily, and am a private investor, to gain income and retirement income, i do not want limitations put on the system i use currently. i currently use leveraged and inverse systems/funds in my portfolio,, thank you for your consideration.
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571:
Symbol
Company
Entry Date
SOESSM Execution Level
CHGNF
AES China Generating Co. Ltd. (Cl A)
2/24/94
500
EFCX
Electric Fuel Corporation
2/24/94
500
GVIL
Global Village Communications, Inc.
2/24/
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of May 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ADLA.GR
Adelphia Communications Corp
10.250
06/15/11
