These monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that a member firm reported to the Trade Reporting and Compliance Engine (TRACE).
FINRA’s trade reporting facility for fixed income celebrated its tenth year of existence in July 2012. During this 10-year span, an average of 500 dealers reported at least one transaction per day, and par value traded increased from a low of $19 billion a day in 2005 to over $23 billion today, surpassing the $21 billion per day seen at the onset in 2002 and 2003.
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
Laura is a single mother who earns less than $40,000 per year. In 2016, Laura, who had little investing experience, decided to invest in the stock market. She met with a broker and, at his suggestion, opened a brokerage account and deposited approximately $13,500—which constituted almost all of her savings. Less than a year later, Laura’s account had lost more than $9,000. Yet, Laura’s broker had
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
Three FINRA rules form a regulatory scheme addressing the supervision of firms and their associated persons.FINRA Rule 3110 (Supervision)FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.The rule details
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
