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The Consolidated Audit Trail (CAT) section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
University of Georgia Professor Recognized for Pioneering Research and Advocacy to Advance Financial Inclusion and Alleviate Racial and Gender Bias in Agricultural Lending
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) today awarded Cesar Escalante the 2022 Ketchum Prize—its highest honor—in recognition of his outstanding service and research to advance financial
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.
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
/01 Responsibility of Personnel
Rule 435, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those
Request for TRACE Reporting Exemption Under FINRA Rule 6732
TRACE Academic Waiver Policy
(a) Millisecond Time Stamps
(1) Subject to paragraphs (a)(2) and (b), each Industry Member shall record and report Industry Member Data to the Central Repository with time stamps in milliseconds.
(2) Subject to paragraph (b), to the extent that any Industry Member's order handling or execution systems utilize time stamps in increments finer than milliseconds, such Industry Member shall
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years.View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Securities Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury
This data provides up to 10 years end of day trade activity for on-the-run nominal coupon treasury securities. View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Trade Activity Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury Securities to the Trade Reporting And Compliance Engine (TRACE), the facility for
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EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix F under Article III, Section 34 of the Rules of Fair Practice and Schedule D to the NASD By-Laws. The amendments would restrict member participation in