NEW ORLEANS - The slow and gradually building sixth wave of the coronavirus in Louisiana appeared to make a sharp upward turn on Monday, as case counts soared and hospitalizations
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS).
WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot , the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees.
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department
Global private financial group supports the growth of development-stage biopharmaceutical company combatting cardiovascular disease, arthritis, and ageing.