Displaying 1341 - 1350 of 34823 Results
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Wendy Lanton, Chief Compliance Officer of Lantern Investments and Chair of the Small Firm Advisory Committee (SFAC), about the SFAC and the work it does on behalf of small firms. The discussion includes an overview of the committee structure, the 2018 SFAC election, and information on how small firms can get more involved and raise issues to be addressed. (17 min. 59 sec.)
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
A major hurricane is bearing down on the East Coast, and others likely will follow. As millions scramble to prepare for this latest natural disaster, it pays to assemble a financial emergency kit now.
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.