Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook
Summary
The Financial Crimes Enforcement Network (FinCEN) has issued the first government-wide priorities for anti-money laundering and countering the financing of terrorism policy,1 which was mandated by the Anti-Money Laundering Act of 2020 (AML Act).2 FinCEN also issued a statement to provide covered non-bank financial institutions (NBFIs), including broker-dealers, with
Recently, certain TRACE Corporate and Agency and TRACE Treasury trades were incorrectly marked late in specific scenarios related to the holiday and early close (this applied to some transactions with execution dates of November 28 and November 29, 2024).FINRA will perform a data fix to remove the incorrect late flag from affected transactions. ADDS trade journals will be republished
Sec. 1. (a) The Corporation shall have the following committees of the Board: the NASD Group Committee (during the Transitional Period); the NYSE Group Committee (during the Transitional Period); the Small Firm Governor Committee; and the Large Firm Governor Committee, which in each case shall be comprised of the Governors specified herein and in the Restated Certificate of
Sec. 4.1 The property, business, and affairs of FINRA Regulation shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Regulation and have the authority to perform all such lawful acts as are permitted by law, the Restated Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its self-
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 8, 1985, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-25 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be directed to:
SIPC Trustee
Richard W. Hill,
Sec. 4.1 The property, business, and affairs of FINRA Dispute Resolution shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Dispute Resolution and have the authority to perform all such lawful acts as are permitted by law, the Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its
As of May 12, 2025ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AlphaX US ALPXTSX Alpha U.S., Inc. AMERICAN LEDGER ATSCSTNAMERICAN LEDGER ATSCeased on July 31, 2021APOGEEAPOGCITADEL SECURITIES LLCCeased on April 2, 2015AQUAAQUAAQUA SECURITIES L.P.Ceased on September 16, 2022AX TRADING, LLCAXTNAX TRADING, LLCCeased on April 30, 2021BARCLAYS
Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
