Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding the effectiveness of communications with and education of firms, including ways in which FINRA could enhance its engagement with member firms. After careful review of the comments and suggestions received, FINRA is taking a number of
Summary
FINRA has released an updated Security Futures Risk Disclosure Statement (2020 Statement) to replace the one that was last updated in 2018, and a supplement (2020 Supplement) that reflects the disclosure updates described herein.1 The 2020 Statement incorporates all cumulative changes made to date, which include, among others, conforming changes for updates to the market-wide circuit
Real-time trade activity for Collateralized Mortgage Obligation (CMO) Securities below one million. Since the fixed income market is less liquid than most markets for stocks, there may be no trade activity in a security for a period of time. See Weekly CMO Files and Monthly CMO Files for data CMO quantity over one million
David Budd is Vice President in Technology with responsibility for technology programs for the Market Regulation, Transparency Services and the National Cause and Financial Crimes Detection Programs business areas.
Mr. Budd joined FINRA in 1999, and has managed technology for several regulatory programs, including external interfaces for the first Alternative Display Facility, and the design and
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited to TRACE,
In a dynamic market, financial regulations change frequently because new technologies and opportunities for investors emerge. As the first line of oversight for the brokerage industry, FINRA is your best resource for information. We serve as a clearinghouse for all the latest compliance news, rules and regulations. Join us at our conferences, educational events and webinars to talk about what the newest developments mean for you.
ACTION REQUIRED
Volume-Weighted Average Price Transactions
SUGGESTED ROUTING
KEY TOPICS
Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
Conflicts of Interest
Order Handling
Supervision
Executive Summary
NASD reminds members that when executing a volume-
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, October 21, 1996. The information relating to matters contained in this Notice is current as of the end of September. Information received subsequent to the end of September is not reflected in this edition.
Firms Expelled, Individuals Sanctioned
Beacon Securities, Inc. (New York, New York), Gary L.
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Call For Review By Governor
A Governor may call a membership proceeding for review by the FINRA Board if the call for review is made within the period prescribed in paragraph (b).
(b) 15 Day Period; Waiver
A Governor shall make his or her call
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTechnologyTradingand MarketsTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting
GUIDANCE
Transaction Reporting
Executive Summary
On November 16, 2006, the Securities and Exchange Commission approved an amendment to Rule 6230 (Transaction Reporting).
