Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
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SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
Continuing Education Planning
Upcoming FINRA Board of Governors Election
The Contra Reporting Firm 20 Minute Compliance Report Card is a monthly status report on compliance for market participants with the requirement that Contra Firms accept / decline / compare trades within 20 minutes of trade execution. It provides information about the number of trades that were accepted / declined / compared within 20 minutes of execution, along with the number of trades that
(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:
Email users – must obtain new email encryption certificate and send to a new email address
Continuing Education Planning
