Displaying 5371 - 5380 of 8996 Results
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Trading
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. Firms are strongly encouraged to use PDM to review their TRAQS users on a regular basis to ensure that accounts remain valid
No member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer's agreement to consent to, or not to oppose, the member's or associated person's request to expunge such customer dispute information from the CRD system.
Adopted by SR-FINRA-2014-020 eff. July 30, 2014.Selected
If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a principal to the trade and shall honor such trade on the scheduled settlement date.
Adopted by SR-FINRA-2008-021 eff. Dec. 15, 2008.Selected Notice: 08-57.
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 28, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGU.GA
Amerisourcebergen Corp
8.125
09-01-08
AVA.GA
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-
SUGGESTED ROUTING*
Internal Audit
Legal&Compliance
Operations
Registration
Trading
*These are suggested departments only. Others may be appropriate for your firm.
The phone number of the Rockville, Maryland office will change effective October 14, 1988. The change in the number of the
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Regulatory Notice 21-19 addresses the general breadth of exploitable and ineffective reporting, they also leave significant gaps compromising the entirety of 21-19’s purpose. It is critical for the restoration of both the stability of the US markets and confidence of investors with in it that all regulation changes regarding short interest reporting be effective in every known circumstance where
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Advertising
Investment Banking
Research Reports
Executive Summary
On May 10, 2002, the SEC approved new NASD Rule 2711, Research Analysts and Research Reports. The rule is intended to improve the objectivity of research and provide