The amended TRACE reporting requirements kick in next year and provide that firms’ aggregated reports to TRACE must reflect allocations with the same price and ...
These 8 FAQs were released in December 2025
"This statement addresses any broker-dealer that carries crypto asset securities for customers, including broker-dealers that conduct a traditional securities business"
"Reg NMS, built on flawed foundations, has invited gamesmanship and contributed to the fragmentation of our markets, the dispersal of liquidity, and diminished transparency. The ...
"I have been a skeptic of Rule 611 since its inception twenty years ago. Dictating how market participants execute trades has never seemed like an ...
"The Commission should have compelling evidence of need before adding layers on top of the best execution regime already imposed by FINRA"
Annual regulatory oversight report is the most anticipated of all FINRA's publications and garners greatest engagement
FINRA's voluntary compliance support tool is getting several enhancements
The amendments are aimed at better balancing 'the process for generating the list of public arbitrators sent to the parties in certain customer and industry ...
There’s a price to be paid for sidestepping the terms of a regulator’s enforcement action