Aggregated News From Investment Management Regulators

FINRA US

FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute

Summary FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Secur

FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification

Summary FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases s

Notice of Annual Meeting of FINRA Firms and Election Proxy

Summary FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C.

FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals

Summary FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.

FINRA Amends the Code of Arbitration Procedure for Industry Disputes to Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual...

Summary Following the enactment of the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 (Act), FINRA amended the Code of Arbitration Procedure for Industry Disputes (Code

FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification

Summary FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases s

FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute

Summary FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Secur

FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals

Summary FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.

FINRA Board Large Firm Governor Election

Summary On May 16, 2022, FINRA announced via Election Notice 05/16/22 upcoming elections to fill one Small Firm Governor seat and one Lar

AARP, FINRA Foundation Team Up to Address Victim Blaming in Financial Fraud

New paper is a catalyst for a cultural shift to end the practice of blaming fraud victims for the crimes they experienced WASHINGTON — A

FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades

Summary FINRA has adopted amendments to Rule 6730 (Transaction Reporting) to require members to append a modifier to a corporate bond trade that is part of a portfolio trade when reporting to FINRA’s

Exemption From Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems

Summary FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include

Regulator Information

Abbreviation: FINRA
Jurisdiction: United States
Email: [email protected]

Recent Articles

Elliott Investment, website operator of elliott-investment.com: suspected violation of the prospectus requirement

Offering securities to the public without an approved prospectus constitutes a violation of the prospectus requirement under Article 3(1) of the EU Prospectus Regulation – unless an exemption applies

Grand-ducal Regulation of 27 July 2022

Grand-ducal Regulation of 27 July 2022, amending Grand-ducal Regulation of 30 May 2018 on the protection of financial instruments and funds belonging to clients,...

MFSA Warning – 86FXTRADE & P240 Ltd – Unlicensed Exchange

The Malta Financial Services Authority (“MFSA”) has become aware of an entity operating under the names of 86FXTRADE and/or P240 Ltd (“the Entity”) which has an internet presence at https://www.

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