Events listed in FINRA Rules
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; ...
ID 25738
The Securities and Exchange Commission (SEC) published in the Federal Register (requested) rule changes of the Financial Industry Regulatory Authority (FINRA) for public comment. The publication is concurrent to FINRA’s publication of Regulatory Notice 23-19 (EventID 23907) in which FINRA already finalized these rule changes on which the SEC now seeks comment on. As described in the Federal Register, FINRA proposes (proposed) to amend ...
Regulatory Notice 23-19
ID 25730
In view of the upcoming changes to 17 CFR Part 240, § 240.15b9-1 under the Securities Exchange Act of 1934 on registration requirements of broker-dealers with the Financial Industry Regulatory Authority (FINRA) and exemption therefrom as initiated by the Securities and Exchange Commission in August this year (EventID 22724), FINRA has now adopted final **Regulatory Notice 23-19 on rule changes to „establish a Short-Form ...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; ...
ID 25722
The U.S. Securities and Exchange Commission, SEC, has published in the Federal Registered proposed rule changes of FINRA (Financial Industry Regulatory Authority) in connection with the dissemination of „On-the-Run Nominal Coupon“ securities transactions and the adoption of a corresponding pricing policy. The purpose of the publication is to seek feedback from the public on the proposal and whether or not the SEC should approve ...
SR-FINRA-2023-015
ID 25656
The Financial Industry Regulatory Authority (FINRA) has published a draft on proposed rule changes to FINRA Rule 6710, 6750 and 7730 in connection with the dissemination of „On-the-Run Nominal Coupon“ securities transactions and the adoption of a corresponding pricing policy. The draft has been forwarded to the Securities and Exchange Commission for approval. Specifically, FINRA seeks to make available on the day of an ...
Information Notice 11/2/23
ID 25617
The Financial Industry Regulatory Authority (FINRA) has published an information notice to remind member firms of the changes to its continuing education (CE) Firm Element requirement which came into force on January 1, 2023. Specifically, the changes include(d): – the extension of the CE Firm Element requirement to all registered representatives, including those with „permissive registrations“, that is affiliated (legal) persons for which a ...
Information Notice 11/1/23
ID 25603
On November 1, 2023, the Financial Industry Regulatory Authority (FINRA) issued an information notice to remind firms of their obligation to file on time – the Annual Report, – the Financial and Operational Combined Uniform Single (FOCUS) Reports, – Form Custody, – the Supplemental Statement of Income (SSOI), – the Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS), – the Supplemental ...
Regulatory Notice 23-18
ID 25591
The Financial Industry Regulatory Authority (FINRA) has published a Regulatory Notice (23-18) in connection with the yearly fees to be paid by member firms. Specifically, FINRA points out that in November 2022, it will issue preliminary statements on the upcoming licensing and branch registration fees for 2024. The preliminary statement will subsequently be replaced with a final statement in January 2024. Firms must pay ...
Quantum Computing Has Potential to Reshape Securities Industry, New FINRA Report ...
ID 25571
The Financial Industry Regulatory Authority (FINRA) recently published a report titled „Quantum Computing and the Implications for the Securities Industry“. The report discusses research undertaken by FINRA’s Office of Financial Innovation on the application of quantum computing in the securities market and summarizes key findings in the following areas: – the potential applications for quantum computing that are currently being explored by financial market ...
Regulatory Notice 23-17
ID 25564
The Financial Industry Regulatory Authority, FINRA, has published a regulatory notice (23-17) to inform that it will discontinue its data collection under FINRA Rule 4540. FINRA’s Rule 4540 mandates that clearing and self-clearing member firms report specific data electronically about themselves and the members they clear for to facilitate risk analysis of the Authority. Specifically, the data collected through this rule was used in ...
Regulatory Notice 23-16
ID 25386
Following the approval of the Securities and Exchange Commission (SEC) of a proposed rule change requested by the Financial Industry Regulatory Authority (FINRA) with respect to the (non)application of FINRA’s trading activity fee [TAF] towards certain proprietary trading firms (please see EventID 22001 in this context), FINRA has now published Regulatory Notice 23-16 to announce the effective date of the rule change which will ...