Design/methodology/approach – The paper provides excerpts from FINRA Regulatory Notice 08-16, Third Party Research Reports; 08-17, Customer Complaint Reporting; 08-18, Unauthorized Proprietary Trading; 08-21, Partial Redemption of Auction Rate Securities; 08-22, Definition of Public Arbitrator; 08...
Additional helpful information can be found inFINRA Regulatory Notice 16-19 (PDF)Opens Dialog. Not Held Orders WFS generally handles orders from institutional customers on a “not held” basis unless requested otherwise through your WFS sales representative; or population of the “held” order tag ...
A Position Transfer (value = Y) is used when reporting a transfer of proprietary positions in debt or equity securities, as outlined in Regulatory Notice 09-21. FINRA Extension to FIX 4.4 Settlement modifiers. Valid values are: 0 = regular (T+2, default) C = Cash (same day) N = Next...
Online using FINRA’s comment form for thisNotice; Emailing comments to pubcom@finra.org; or Mailing comments in hard copy to: Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506
LeBlanc never provided any notice, orally or in writing, to the firm concerning his borrowing arrangement with the customer and never complied with his payment obligations under the promissory note. LeBlanc falsely answered �no� on an annual firm certification form regarding borrowing money from...