Entries by Jay Gettenberg

FINRA Notice 15-46

Summary November 2015 In light of the increasingly automated market for equity securities and standardized options, and recent advances in trading technology and communications in the fixed income markets, FINRA is issuing this Notice to reiterate the best execution obligations that apply when firms receive, handle, route or execute customer orders in equities, options and […]

FINRA Notice 15-45

Summary Implementation Date: January 4, 2016 The SEC recently approved FINRA’s proposal to establish a registration category and qualification examination requirement for Securities Traders and Securities Trader Principals.1 This Notice provides firms with information regarding the Securities Trader registration category and qualification examination (Series 57), Securities Trader Principal registration category, Series 57 examination fee and […]

FINRA Notice 15-44

Summary Effective Date: November 1, 2017 FINRA and the other U.S. members of the Intermarket Surveillance Group (ISG members)1 have extended the effective date for compliance with certain data elements for Electronic Blue Sheets (EBS) identified in Regulatory Notice 13-38 to November 1, 2017. FINRA and the other ISG members are extending the effective date […]

FINRA Notice 15-43

Summary Effective Date: November 3, 2015 As required by Regulation Systems Compliance and Integrity (Regulation SCI), FINRA has adopted new Rule 4380 related to mandatory member firm participation in business continuity and disaster recovery (BC/DR) testing.1 The new rule authorizes FINRA to designate firms that must participate in FINRA’s BC/DR testing under Regulation SCI, which […]