The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
Beginning Monday, August 20, 2018, FINRA will require a change to all FIX trade reporting related to the processing of execution time during Daylight Savings Time (DST) changes. This update affects firms’ transaction reports for all FINRA Multi Product Platform products (MPP), including TRACE, the OTC Trade Reporting Facility (ORF), and The Alternative Display Facility (ADF).
Currently, Tag 60 (
To enhance the security of participant accounts, beginning Monday, June 23, 2025, FINRA will employ a session timeout control on the TRAQS production website. TRAQS clients will be logged out after 60 minutes of inactivity. A five-minute warning message will be displayed to clients prior to the logout occurring. TRAQS clients may begin testing this new feature in the test facility (NTF) beginning
FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades
Comments on Day Trading Disclosure StatementPlease see comments with underline or strikethrough.Day-Trading Risk Disclosure StatementYou should consider the following points before engaging in a day-trading strategy. For purposes of this notice, a "day-trading strategy" means an overall trading strategy characterized by the aggressive and regular transmission by a customer of intra-day
1. What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members.FINRA Rule 3210
Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is implementing enhancements to the FINRA equity trade reporting facilities to support the reporting of fractional share quantities. The enhancements require associated updates to FINRA’s trade reporting guidance, as described in greater detail in the March 2024 Trade Reporting Notice. These enhancements are being
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Operations
Trading & Market Making
ACT
PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
