SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
TRACE Volume Reports are produced on a monthly basis for TRACE participants to review TRACE activity for the past month by sub-product. FINRA will implement changes to these reports on Monday, July 26, 2021 that will include the addition of ATS, Interdealer and Customer categories and modify how volumes are computed. Specifically, volumes will be computed similarly to the Weekly
Join this webinar for an overview of the Customer Information Request that was sent to some member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
Every capital acquisition broker shall use reasonable diligence to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer. For purposes of this Rule, facts "essential" to "knowing the customer" are those required to (a) effectively service the customer, (b) understand the authority of
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3010(b)(2), also known as the "Taping Rule," and NASD IM-8310-2. The proposed amendments to the Taping Rule generally would: (1) permit firms that become subject to the Taping Rule a one time opportunity to adjust their staffing levels to fall below the prescribed threshold levels and thus avoid
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
August 16, 2001The next OATS Release has been preliminarily set for Monday, October 29, 2001. This article highlights changes that will affect OATS reporting systems. More specific details will be included in the next edition of the OATS Reporting Technical Specifications scheduled for publication in early September.The first change adds the Issue Symbol to both the Cancel and Desk Reports. The
Sir, While I appreciate the level of market transparency you are trying to achieve by implementing rules that speed up the price reporting process, I question the benefit that market participants will enjoy by shortening the reporting time frame from 15 minutes to 1 minute. I think this is especially the case with smaller trades done typically by retail investors. Our firm usually does government
Registration Fee Changes
Registration fees have changed recently in the following jurisdictions: Utah, the Chicago Board of Options Exchange, North Dakota, and Nebraska. These registration fees are processed through the Central Registration Depository (CRDSM) and the changes went into effect on July 1, 1999.
Utah
Fee Description
New Amount
• UT Individual Registration Fee
$45.00
• UT
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Variable Contracts
Labor Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock
