June 1, 2020: Rogge Dunn To Speak at FINRA Webinar Regarding FINRA Regulatory Notice 19-31 READ MORE Dec. 13, 2019: Rogge Dunn To Speak at The Knowledge Group’s Live Webcast, “FINRA Arbitration Hot Topics for 2020: Updates You Should Know.” ...
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...
“dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or has any other association with (within the meaning of Article I of the Bylaws of the Financial Industry Regulatory Authority (“FINRA”)) any member ...
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...
This silliness doesn't become any more or less rational the longer it progresses through the Wall Street regulatory system. At it's core, we got an individual who executes a settlement agreement with FINRA on April 1, 2016, which FINRA apparently took some 21 additional days to review and ...
LeBlanc borrowed $20,000 from a customer, signed a promissory note without prior written notice to his member firm and without obtaining pre-approval from the firm�s chief executive officer. LeBlanc never provided any notice, orally or in writing, to the firm concerning his borrowing arrangemen...