NASD® 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 the Municipal Securities Rulemaking Board (MSRB).
Starting January 3, 2017, if the parties jointly request an explained decision, FINRA will waive the $400 fee to the parties for an explained decision.
On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the
Some of the key responsibilities of an SAA are to ensure that access is appropriate and required as well as remove access for users who no longer need it—either because of changes in job duties or termination with the firm.
FINRA has launched two new TRACE data products: the End-of-day TRACE Transaction File and the TRACE Security Activity Report.
The new End-of-Day TRACE Transaction File is a daily file that includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File will be provided to subscribers after the TRACE system closes at the
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 theMunicipal 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 theMunicipal Securities Rulemaking Board (MSRB).
FINRA Dispute Resolution (FINRA) had a busy year in 2009. In addition to the
large increase in case filings, we implemented several new rules resulting in
additional training for arbitrators.
OTCE Historical Data Download Files
On Monday, January 22, 2018, in response to requests by member firms, FINRA will implement changes to the TRACE for Treasuries (U.S. Treasuries) trade reporting retention period. Currently, trade reports for U.S. Treasuries transactions are retained on a rolling 2-day period (T-1). Following the change, trade reports for U.S. Treasuries transactions will be retained on a rolling 3-day period (T-2
