FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made
As prepared for delivery
Electronic Trading in the Bond Markets
Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.
Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was
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• Customer Confirmations—Failure to Comply With Rule Requirements
• Customer Protection Rule—Failure to Comply With Rule Requirements
• Net Capital Violations
• Recordkeeping Violations
• Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin
Summary
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.
Questions regarding this Notice
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
INFORMATIONAL
Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
Effective Date: December 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 3130
Rule 3131
Rule 9160
Rule 9400 Series
Net Capital
