FINRA member firms that have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities must submit their transaction reports to the appropriate FINRA facility … Continue reading FINRA Updates the Transparency Services Participant Agreement
The SEC has approved FINRA’s proposed rule change to adopt a new, consolidated rule governing accounts opened or established by associated persons at firms other than the firm at which … Continue reading Effective Date of FINRA Rule 3210
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending January 31, 2017)