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SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule

The Securities and Exchange Commission’s Division of Trading and Markets has issued frequently asked questions (FAQ) concerning the amendments adopted on July 30, 2013, to Rule 17a-5 (Broker-Dealer Reporting Rule) of the...more

4/15/2014 - Broker-Dealer Reporting Requirements SEC

FINRA Proposes Rule to Require Alternative Trading Systems to Report Volume Information and Use Unique Market Participant...

The Financial Industry Regulatory Authority filed a rule proposal with the Securities and Exchange Commission to require alternative trading systems (ATS) to report to FINRA volume information in securities (both equity and...more

10/8/2013 - ATS FINRA Reporting Requirements SEC

Amendments to SEC Rules Regarding Broker Dealer Financial Responsibility and Reporting Requirements

The Securities and Exchange Commission adopted amendments to the financial responsibility requirements for broker dealers under the Securities Exchange Act of 1934 (Exchange Act) designed to safeguard customer securities and...more

8/13/2013 - Broker-Dealer Notice Requirements PCAOB Reporting Requirements SEC Securities Exchange Act Self-Regulatory Organizations SIPC Third-Party

FINRA's Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time

The Financial Industry Regulatory Authority issued frequently asked questions (FAQs) in connection with FINRA firms being required to submit new data elements for Electronic Blue Sheets (EBS) to correspond with the...more

3/26/2013 - Electronic Blue Sheets FINRA Reporting Requirements Securities Exchange Act

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