Request for TRACE Reporting Exemption Under FINRA Rule 6732
OverviewHow to Request an Addition to the Eligible Multifamily ProgramsAdditional Eligible Multifamily ProgramsOverviewRule 4210(e)(2)(H)(ii)a.2. provides that: “[A] member is not required to include a counterparty’s Covered Agency Transactions in multifamily housing securities or project loan program securities in the computation of such counterparty’s net mark to market loss, provided
In addition to the Small Firm Helpline, FINRA has implemented other programs for small firms:
Benefits Specific to Small Firms
Increased the number of Certified Registered Compliance Professional small firm scholarships.
Significantly reduced the small firm registration fee for FINRA conferences.
Initiated a retrospective review of FINRA Rule 4311 (Carrying Agreements), especially important
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
Jacqueline Perrell is Senior Vice President and Chief of Staff in Market Regulation and Transparency Services. Ms. Perrell is responsible for overseeing a wide variety of core functions within the department, including strategic initiatives, business operations, training and development, and regulatory compliance functions. Previously, Ms. Perrell was Vice President in Member Supervision and the
This rule is no longer applicable. NASD Rule 1090 has been superseded by FINRA Rule 1021. Please consult the appropriate FINRA Rule.
A member which does not maintain an office in the United States responsible for preparing and maintaining financial and other reports required to be filed with the Commission and the Association must:
(a) prepare all such reports, and maintain a general ledger
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
Within 21 days after the filing of a notice of appeal or notice of review, or at such later time as the National Adjudicatory Council may designate, the Office of Hearing
article h1::after {
content:'1';
white-space:pre;
vertical-align:super;
font-size:0.5em;
line-height:0;
}
Quantum mechanics is a branch of physics that deals with the complex properties of atoms and sub-atomic particles.2 Quantum computing leverages the principles of quantum mechanics to solve problems too large or complex for traditional computers. Although quantum computing is still
FINRA’s examination program plays a central role in supporting FINRA’s mission of investor protection and market integrity. A main component of this program is FINRA’s examinations of broker-dealers (“firms” or “members”) that are conducted on a regular cycle basis: each firm is examined at least once every four years, and many are examined even more frequently. In connection with each of these examinations, FINRA prepares a report—which is available only to the relevant firm—addressing certain aspects of the firm’s compliance with securities rules and regulations. Firms are required to address issues identified by FINRA, and many do so by proactively taking corrective action before FINRA concludes its exam. Through this sort of rapid remediation, firms strengthen their compliance and supervisory programs, which ultimately helps better protect investors and the integrity of the markets.
Heightened Supervision of Complex Products
