August 12, 2019FINRA President and CEO Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Vice President Dave Chapman, as well as Senior Director, CAT Business Operations, FINRA CAT, LLC Paul McKenney, to discuss current progress and reporting obligations for the Consolidated Audit Trail (CAT).Speakers:Robert Cook, FINRA President and Chief Executive
We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
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Executive Summary
In Notice to Members 99-
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) for the period from July 16, 2024 through December 31, 2024. These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”) and referred to as “CAT Fee 2024-1.”
To Whom It May Concern,
I am an educated, responsible, tax paying citizen of the United States that has been investing my hard earned money
in various securities for more than 40 years. I read and study financial information on a daily basis, and have been subscribing to numerous financial publications for many years. I take exception to the fact that government regulators continue to attempt to
One of the best parts of a free society is the ability to make your own decisions and none more important than financials ones. I have been investing for over 30 years and the ability to do that and to choose my investments has resulted in my financial independence. I am not a trader, I am a long term investor and holder of leveraged funds. I am my own advisor and do my own research and I
FINRA should provide daily updates on short interest and failure-to-delivers. If that isn't feasible, then at minimum a T+1 timeframe should be implemented. Rampant naked shorting along with a financial toolbox that favors large institutions goes against what a free market is all about. As a retail Investor, I do not have the same means or access to the types of information that larger
Aloha. Mahalo for doing the best to your abilities to protect American citizens without infringement on their freedoms and financial success. We are at an inflection point moving from the old financial system into a new financial system. The decisions you and your peers agree upon has potential impact on 100s of millions of lives. Let's make sure your team and the American population is
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
