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Ola Persson is Senior Vice President and head of Transparency Services. He is responsible for all business, technology and operational aspects related to FINRA's fixed income and equity trade reporting and quotation facilities (TRACE, ADF, ORF, OTCBB and the TRFs).
Mr. Persson joined FINRA in 2004, with responsibilities for the fixed income (TRACE) program. Prior to joining FINRA, Mr.
PIABA's study underlines and emphasizes serious concerns FINRA shares with respect to the expungement process.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and United Way Worldwide are giving more than $1.5 million in grants to help low-wage families build financial stability, under the Financial Education in Your Community initiative.
Financial Education in Your Community provides community-based financial education for working individuals and families.
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance MeetingsRule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7) to require that
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) issued a revised Form 4789, Currency Transaction Report (CTR), under the Bank Secrecy Act (BSA). CTRs are used to file reports of deposits, withdrawals, exchanges of currency, or other payments or transfers involving a transaction in
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternative Trading System), Interdealer, and Customer Trades.
The monthly data is published on the third business day following the end of the month.
For any questions regarding the data,
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternative Trading System), Interdealer, and Customer Trades.
The monthly data is published on the third business day following the end of the month.
For any questions regarding the data,
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternative Trading System), Interdealer, and Customer Trades.
The monthly data is published on the third business day following the end of the month.
For any questions regarding the data,
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternative Trading System), Interdealer, and Customer Trades.
The monthly data is published on the third business day following the end of the month.
For any questions regarding the data,
SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1995:
January 2
New Year's Day (observance)
February 20
President's Day
April 14
Good Friday
May 29
Memorial Day
July 4
Independence Day
September 4
Labor Day
November 23
Thanksgiving Day
December 25
Christmas Day
Questions