WebApr 11, 2024 · I was intrigued when former Commissioner Luis Aguilar extended a speaking invitation for today’s RegTech 2024 Data Summit. Modernizing how we collect, analyze, and facilitate the public’s use of data is important to me, and this Summit was likely to be lively given last year’s passage of the Financial Data Transparency Act (“FDTA”). WebApr 5, 2024 · FINRA policy supplement an product away Regulation T for placing "maintenance" margin requirements about customer account. Under these general, while a global material, aforementioned customer’s equity in the account should not fall back 25 percent off the current marketplace value of this security in the account.
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Web1/10/2024 FOIA-2024-00476 (b)(6) Other Copy of identity theft report (Date Range for Record Search: From 8/1/2024 To 12/1/2024)-1/10/2024 FOIA-2024-00477 Williams, Michael News Media A log of all completed FOIA requests to the FTC that received a 7(A) exemption for months of September, October, November, and December 2024 The … WebThe firm did not make the complaint, and the firm was required by FINRA rules to report the complaint to the CRD system—and the firms have qualified immunity for submitting customer complaints under the rules. In expungement matters, the degree of certainty firms have about legal exposure is moot. 3. bowen law school library
Financial Industry Regulatory Authority (FINRA) …
WebDec 20, 2024 · December 5. 2024; Risk Alert: Observations Related to Regulation NMS Rule 606 Disclosures November 10, 2024 ... Compliance Topics Observed in Examinations of Investment Companies and Observations from Money Market Fund and Target Date Fund Initiatives November 7, 2024; ... OCIE-FINRA Report on National Senior Investor … WebDate Phase Information Category Audience; TBD - Not anticipated to be before the second half of 2024 2e : Last Day for Interim Reporting Obligation 4 Testing & Readiness : Industry Members; TBD - Not anticipated to be before the second half of 2024 ... Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected ... WebMay 25, 2024 · FINRA proposed amendments to FINRA Rule 6730 to enhance its TRACE reporting rules for transactions in US Treasury securities. Update: On December 2, 2024, FINRA issued Regulatory Notice 22-27 to announce the effective dates of the amendments to FINRA Rule 6730 (see Legal Update, FINRA Announces Effective Dates for … bowen learning