INFORMATIONAL
Riskless Principal Trade Reporting
Riskless Principal Trade-Reporting Rules Will Be Implemented On February 1, 2001
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualifications
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Technology
Trading & Market Making
Training
Riskless Principal
Trade Reporting
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
INFORMATIONAL
Books And Records Rules
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Books and Records
Exchange Act Rule 17a-3
Exchange Act Rule 17a-4
Summary
The Securities and Exchange Commission (SEC) approved a rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to modify the rules to enhance regulatory consistency and address unintended operational impediments.1 These changes become effective on January 1,
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 3, of the
For July 8, 2019, transactions disseminated for the below listed 57 Freddie Mac-issued mortgage-backed securities traded in specified pool transactions (MBS transactions) do not reflect the most recent reference data element updates provided by Freddie Mac on Saturday, July 6 2019. Consequently, the dissemination ID (RDID) used for MBS transactions in the below listed securities reflect reference
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule
Firm Failed to File Nearly 1,500 Suspicious Activity ReportsWASHINGTON—FINRA announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6 million for failing to establish and implement policies, procedures, and internal controls reasonably designed to cause the reporting of suspicious transactions as required by the Bank Secrecy Act. In particular, Merrill Lynch failed
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
