On March 29, 2019, the data collection requirements under the National Market System (NMS) Plan to implement a Tick Size Pilot Program (Tick Size Pilot) will come to an end. As a result, the Pilot Securities File and Change File will no longer be produced on a daily basis. At the conclusion of the pilot, a blank Tick Size Pilot Securities file will be produced, and the Change File will be updated
It’s tempting to put off until tomorrow some of the important decisions about what happens to your retirement assets when you die. But it pays to plan ahead, especially for accounts that aren’t transferred by will or trust. Start here: Make sure there are designated beneficiaries for any retirement savings plans and pensions you own or may be entitled to.
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and by-laws. Designated firm contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our member firms.
Exemptive relief is granted based on representations that: the MFP made the contributions prior his employment as an MFP and before he was aware of Rule G-37; the Candidate is a personal friend of the MFP; the Firm discovered the contributions through its pre-employment due diligence process; the contributions were refunded; the Firm hired the MFP for reasons unrelated to the contributions; the Firm has a long-standing relationship with the State and the contributions are not related to any business; and the individual will be prohibited from involvement in municipal securities business with the G-37 Issuers for a period of time.
Transparency Services Legal Agreements
FINRA is conducting an inquiry with respect to Unit Investment Trust (“UIT”) rollovers. In connection with our inquiry, we request that firm provide the following documents and information for the period from January 1, 2014 through June 30, 2016 (the “Review Period”) to the undersigned by no later than October 10, 2016.
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Appendix C.II. Data
On February 28, 2017, FINRA published Appendix C.II. data for the months of April 2016 through January 2017. Going forward, each month’s data will be available on FINRA’s website by the 30th calendar day of the following month. Access the Appendix C.II. data.
Delay in Publishing Appendix B Data
FINRA and the other Participants have requested an exemption
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
