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...
Information in TRACE regarding transactions in U.S. Treasury securities is for regulatory and other official sector purposes and is not disseminated publicly.5FINRA makes the data available to the official sector to assist them with monitoring and analysis of the U.S. Treasury securities markets.6S...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval o... The article presents information on a proposed rule change filed by Financial Industry Regulatory Authority to the U.S. Securities and ...
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...