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.” ...
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 ...
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...
Format Changes and Timeline On November 15, 2021, FINRA/NYSE TRF will begin supporting timestamps with up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA's equity trade report rules. Please refer to FINRA Regulatory Notice 20-41 for additional information ...
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 ...
Russo failed to provide written notice to his member firm that he was engaged in outside business activities for compensation. While associated with a member firm, Russo opened an account with another member firm and failed to notify either his member firm or the executing member firm, in writi...
The Financial Industry Regulatory Authority ("FINRA"), the private regulatory body for broker-dealers, indicates it too wants a disclosure document for broker dealers similar in form and content to the Form ADV Part 2. The SEC, FINRA, and OFIR seek disclosures to nancial customers that are ...