In an effort to communicate technical changes to its trade reporting and quotation facilities - TRACE, ORF, and ADF (and related systems) with FINRA member firms, FINRA is introducing a new web page, on FINRA.org, where firms may review upcoming market transparency initiatives. This page will be updated on a regular basis in addition to technical notices that will continue to be posted and
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
<p>When a member exchanges TRACE-eligible securities for a Creation Unit of an exchange-traded fund ("ETF"), the transfer of TRACE-eligible securities is not required to be reported to TRACE. Similarly, when a member redeems a Creation Unit of an ETF and receives TRACE-eligible securities, their acquisition is not required to be reported to TRACE.</p>
Domestic and international retail investors are in dire need for a transparent and fair free market. Public scrutiny of market makers, investment firms and brokerages is at a tipping point where the average investor does not believe in a fair market. Individual investors are uncovering evidence of insider trading, price manipulation of securities sold in the NYSE and more importantly "Dark
FINRA’s Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on
(a) When and How Transactions are Reported
(1) Reports of secondary market transactions in direct participation programs shall be transmitted to the OTC Reporting Facility on the next business day ("T+1") after the date of execution between 8:00 a.m. and 1:30 p.m. Eastern Time, be designated "as/of" trades to denote their execution on a prior day, and be accompanied by the
The standards governing communications with the public are set forth in Rule 2210. In addition to those standards, the following guidelines must be considered in preparing retail communications and correspondence, as defined in Rule 2210, about variable life insurance and variable annuities.
(a) General Considerations
(1) Product Identification
In order to assure that investors
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
The AG position is the designation used in Form U4 as part of the CRD Program to identify a person who has been approved to sell securities in a particular jurisdiction. Many states require qualification by examination for this position; however, the qualification requirements vary between jurisdictions. The North American Securities Administrators Association (NASAA), after consultation with
<p>Imposition of a fee to customers for redemption of mutual funds, where the fee initially is charged to the broker/dealer by clearing firms, is generally not prohibited under NASD rules if the fee is reasonable and customers are given adequate notice.</p>
