INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
It's terrific to be here today. When Jonathan first brought up the idea for this conference, I was thrilled. After all, I'm a self-professed geek when it comes to economic research and analysis-although I admit I can't actually do all the calculations.
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 1501, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALWA.GA
Alamosa Delaware Inc
12.500
02/01/11
AMR
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 7, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
I have been a Financial Advisor for 12 years and a day trader for the last 3 years. I understand that the PDT rule was put in place to help limit the risk of loss for individual investors however I do not believe it accomplishes that. Most brokerage houses will allow 4X margin to be applied to a brokerage account for investing/trading. By requiring $25,000 minimum equity to be a day trader this
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing all day June 26 and June 27, 2023.
Production systems are unaffected by this event. NTF will become available again starting June 28, 2023.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice
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These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
MSRB Markup/Markdown Analysis Report
The report is a monthly compliance tool that provides an analysis of the markup
FINRA applications and support services appear to be operating normally. This includes the TRACE New Issue form and Market Operations phones lines. FINRA will continue to monitor its systems and support services and will send additional updates as necessary.
Due to the AWS US east 1 outage some FINRA applications and support services may be impacted, including the TRACE New Issue form and Market Operations phones lines. In the meantime, please e-mail FINRA Market Operations. FINRA will send an update when more details are known.
FINRA imposed $59.8 million in fines in 2024[1], and the Board determined that there were $89.3 million in fines-eligible expenditures in 2024 (i.e., capital initiatives, strategic expenditures and other activities eligible to be funded by fine monies based on the criteria set forth above). Because the total of fines-eligible expenditures exceeded the amount of fines issued in 2024, the balance of $29.5 million was funded from FINRA’s reserves and excess operating results.
