(a) Locked-in trades may be determined in the System by matching the trade information submitted by the Reporting Parties through one of the following methods:(1) Trade by Trade MatchBoth parties to the trade submit transaction data and the System performs an on-line match;(2) Trade AcceptanceThe Reporting Party enters its version of the trade into the System and the contra party reviews the
This report illustrates capped average size trading volumes in corporate, agency and structured products reported for the prior month. Volume cap is the amount of tax-exempt financing available for certain types of private companies or developers in a calendar year. A project must obtain an award of volume cap before it can have tax-exempt bonds issued. Learn more about corporate, agency and
(a) Pursuant to Section II of the Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc. ("Delegation Plan"), the Board shall appoint a National Arbitration and Mediation Committee ("NAMC").
(1) The NAMC shall consist of no fewer than 10 and no more than 25 members. At least 50 percent of the NAMC shall be Non-Industry members.
(2) The
(a) Before appointing arbitrators to a panel, the Director will notify the arbitrators of the nature of the dispute and the identity of the parties. Each potential arbitrator must make a reasonable effort to learn of, and must disclose to the Director, any circumstances which might preclude the arbitrator from rendering an objective and impartial determination in the proceeding, including
(a) Pursuant to Section II of the Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc. ("Delegation Plan"), the Board shall appoint a National Arbitration and Mediation Committee ("NAMC").
(1) The NAMC shall consist of no fewer than 10 and no more than 25 members. At least 50 percent of the NAMC shall be Non-Industry members.
(2) The Chairperson
Thursday, December 7All times are listed in Eastern Time.10:30 a.m. – 10:45 a.m.Opening Remarks10:45 a.m. – 11:30 a.m.Panel 1: Credit RatingsTopics:Rules of the RoadUnderstanding Bond Ratings: Methodologies, Consistency of Application, and Assurance of RatingsCase StudyTrends11:30 a.m. – 11:40 a.mBreak11:40 a.m. – 12:25 p.mPanel 2: Pricing Issues (New and Remarketing)Topics:Compliance
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
-Enhanced Failure to Delivery, Failure to Settle, Market Buy Ins, Market Lock Ins and FINRA to Publicly report these in a timely manner in .csv format on their website. The only data currently available is "Failures to Deliver" which is only 1 of several metrics. Retail and others would greatly benefit from the transparency added by simply providing this additional information about
IM-2420-2, the "Continuing Commissions Policy," does not apply to the receipt by a terminated broker/dealer of commissions generated by its former registered persons after they have transferred to a new firm. Rule 2420 would further apply to prohibit the receipt of the commissions by the non-member broker/dealer.
IM-2420-2, the "Continuing Commissions Policy," does not apply to the receipt by a terminated broker/dealer of commissions generated by its former registered persons after they have transferred to a new firm. Rule 2420 would further apply to prohibit the receipt of the commissions by the non-member broker/dealer.
