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FINRA observed some instances in which firms have had difficulty meeting various aspects of their obligations under Regulation SHO and relevant FINRA rules:
Supervision of Third-Party Order Management Systems
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.Personal Information RequiredAs a matter of
Summary Arbitration Statistics December 2012
New Case Filings through December:
2010
5,680
2011
4,729
2012
4,299
2012 vs 2011
-9%
Number of Cases Closed through December:
2010
6,241
2011
6,099
2012
4,877
2012 vs 2011
-20%
Turnaround Time1 (in months) through December:
Year
Summary Arbitration Statistics December 2013
New Case Filings through December:
2011
4,729
2012
4,299
2013
3,714
2013 vs 2012
-14%
Number of Cases Closed through December:
2011
6,099
2012
4,877
2013
4,498
2013 vs 2012
-8%
Turnaround Time1 (in months) through December:
Year
Summary Arbitration Statistics December 2014
New Case Filings through December:
2012
4,299
2013
3,714
2014
3822
2014 vs 2013
3%
Number of Cases Closed through December:
2012
4,877
2013
4,498
2014
3,838
2014 vs 2013
-15%
Turnaround Time1 (in months) through December:
Year
The TRACE Reporting section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
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).
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).
TRACE Reporting Timeframes and Transparency Protocols1Type of TRACE-Eligible SecurityOther Transactions - Reporting TimeframesList or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting TimeframeTransparency2Corporate Bond (see FINRA Rule 6710(a))Within 15 minutes of time of execution (see
