This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
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 the Municipal Securities Rulemaking Board (MSRB).
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Upcoming Election to Fill FINRA District Committee Vacancies
Upcoming Election to Fill FINRA District Committee Vacancies
Continuing Education Planning
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members reminds members of their reporting requirements concerning the automated submission of trading information via the Electronic Blue Sheet (EBS) System and provides information on the validation of certain
