SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 SeriesEligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
Each participant will be charged a monthly fee for use of the FINRA/NYSE Trade Reporting Facility. The monthly fee will be calculated as follows:
(a) If the participant submits one or more trade reports to the FINRA/NYSE Trade Reporting Facility during a given calendar month, the participant will pay a monthly fee equal to the sum of (i) $1,000 plus (ii) $0.0055 per published tape report.
(b)
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
