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SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to strengthen regulatory compliance across the industry. Today, Gira joins us once again to share how his team is using the data to foster fairer markets.
F/M DISTRIBUTORS, LLC111 HUNTINGTON AVENUE, BOSTON, MA 02199FAIRMOUNT PARTNERS LP555 EAST LANCASTER AVENUE, SUITE 640, RADNOR, PA 19087FAIRPORT CAPITAL, INC.9141 E. HIDDEN SPUR TRAIL, SCOTTSDALE, AZ 85255FAIRVIEW SECURITIES, INC.154 LONG LOTS ROAD, WESTPORT, CT 06880FALCON SQUARE CAPITAL, LLC3701 LAKE BOONE TRAIL, SUITE 100, RALEIGH, NC 27607FALLBROOK CAPITAL SECURITIES CORP.26610 AGOURA ROAD,
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*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed revision to an amendment to Article ill, Section 35 of the NASD Rules of Fair Practice. The
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series.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
I think that the proposed reduction to one minute reporting other than help investor protection will create a lot of problems for member firms, specially small firms. I think (and I am sure will happen more with small firms) that the number of errors in ticket generation will increase tremendously. This will then create delays in matching and settling trades (in addition to TRACE violations for
Maureen Jensen and Eric Noll Appointed as New Public Governors
WASHINGTON – The FINRA Board of Governors has unanimously elected Eileen Murray, former Co-CEO of Bridgewater Associates, LP, as Chairperson effective at FINRA’s Annual Meeting in August. In addition, Maureen Jensen, former Chair and CEO of the Ontario Securities Commission (OSC), and Eric Noll, CEO of Context Capital Partners, have
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Extended Hours Trading Risk Disclosure
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Extended Hours Trading Risk
FINRA Announces Results of SFAB, NAC and District Committee Elections
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Executive Summary
Effective April 1, 1997, tier sizes for 692 Nasdaq National Market® securities will be revised in accordance with NASD®Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284