Financial Accounting Resources & News
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Jay Gettenberg
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Jay Gettenberg2017-04-20 16:15:502020-02-01 18:21:47New FINRA CAB Rules
FINRA Notice 15-51
/in Regulatory Updates/by Jay GettenbergSummary December 2015 Pursuant to rule amendments that will be effective February 1, 2016, FINRA is introducing a new category of trade submissions—clearing-only, non- regulatory reports—that firms can use to submit to clearing those OTC transactions in equity securities that have been previously reported through a FINRA facility.1 Clearing-only, non-regulatory reports cannot be used for […]
FINRA Notice 15-50
/in Regulatory Updates/by Jay GettenbergSummary Effective Date: June 6, 2016 The SEC approved amendments to FINRA Rule 2210 (Communications with the Public) to require each of a member firm’s websites to include a readily apparent reference and hyperlink to BrokerCheck on (1) the initial Web page that the firm intends to be viewed by retail investors, and (2) any […]
FINRA Notice 15-49
/in Regulatory Updates/by Jay GettenbergSummary Effective Date: December 12, 2015 The SEC approved a change to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period from 15 days to three business days for the release of certain information reported on the Form U5 (Uniform Termination Notice for Securities Industry Registration) through BrokerCheck. The effective date is December […]
FINRA Notice 15-48
/in Regulatory Updates/by Jay GettenbergSummary Effective Date: April 2, 2016 Pursuant to rule amendments that will become effective on April 2, 2016, FINRA will expand its alternative trading system (ATS) transparency initiative to publish the remaining equity volume executed over-the-counter (OTC) by FINRA member firms, including the trading activity of non-ATS electronic trading systems and internalized trades. Beginning on […]