Within FINRA, we view ourselves as working on the “front lines” of investor protection. What does that mean? It means that we act quickly to identify misconduct, stop fraud and prevent losses, obtain restitution for harmed investors, and remove bad actors from the brokerage industry. Here, we are focusing on that last piece—barring bad actors from associating with a
In the last two years, FINRA has barred more than 730 brokers and associated persons. What was the most prevalent rule violation that resulted in these bars? You might think that the most brokers were barred for violating FINRA’s rule against misuse of customer funds (FINRA Rule 2150) or making fraudulent misrepresentations (Rule 2020) or, perhaps, for excessively trading customer accounts in
Beginning Monday, March 11, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system; it is not expected that clients will see any material differences from the legacy TS platform.
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
The SEC recently adopted changes to SEC Rule 144 that shorten the
holding period requirements for privately placed securities before they can
be sold into the secondary market, subject to the conditions of the rule,
and that may change industry conventions in the resale of privately placed
debt securities.
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
