FINRA Regulatory Notice 24-09 Guidance regarding Generative Artificial Intelligence As member firms incorporate the use of Gen AI or similar tools into their businesses, they should be mindful of the potential implications for their regulatory obligations. ...
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...