In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes t...
The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of FINRA’s 2024 fine monies. Eric Noll is stepping down as Chair to pursue an ...
Participant also acknowledges that it is subject to the jurisdiction of FINRA and that it shall comply with all FINRA Rules, including but not limited to, those rules that govern trade reporting to the TRF. Participant acknowledges and agrees that it is solely responsible for any fines, ...
While FINRA does not tie this observation directly to the new Regulation Best Interest, given the relatively close compliance date of June 2020, firms should be cognizant that adaptability to new rules is top of mind for FINRA. The report additionally highlights shortcomings in internal branch super...
TRACE Dissemination of Agency Debt Securities–The Board also approved proposed amendments to Trade Reporting and Compliance Engine (TRACE) rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises and modify dissemination protocols to ap...
(10-23) On February 22, 2010, the SEC approved the second major proposed expansion of TRACE to include Asset-backed Securities as TRACE-Eligible Securities, to require the reporting of Asset-backed Securities transactions and to establish reporting fees. (10-27) Starting on July 1, 2010, the...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Establish Optional TRACE Data Del... Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Amend the Customer and...
led the creation of new rules in critical areas such as analyst conflicts of interest and mutual fund breakpoints; created the NASD Investor Education Foundation; established the TRACE bond price transparency system; and developed an extensive training program for all examiners, among many other accomp...
Purpose – The purpose of this paper is to explain two new FINRA rules: Rule 2090 (Know Your Customer) and Rule 2111 (Suitability). Design/methodology/appr... S Lawrence Polk,A Stadler - 《Journal of Investment Compliance》 被引量: 1发表: 2011年 Alternatives for Retail: The Amount of Mo...
Findings – (09-57) Effective March 1, 2010, firms must begin reporting transactions in Agency Debt Securities and primary market transactions and otherwise comply with all other requirements in the TRACE Rules, as amended, and amended FINRA Rule 7730. (09-58) NASD Rule 2320(a) requires ...