The TRACE Markup/Markdown Analysis Report is a monthly report designed to assist firms in their supervision activities by providing transparency into a portion of FINRA's surveillance program of corporate and agency fixed income transactions customer pricing.
The TRACE Markup/Markdown Analysis Report is built upon logic developed to pair purchase and sale transactions reported to
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Reporting of Information Relating to OTC Trades in NMS Stocks
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility
Summary
FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration / Depository System
IM-8310-2
Investment Adviser / Representatives
U-4
U-5
Executive Summary
The Securities and Exchange
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
FINRA Updates the Transparency Services FINRA Participant Agreement
