FINRA Rule 6730 and MSRB Rule G-14 will be updated with reporting changes that are effective on Monday, July 18. …
Trade Reporting and Compliance Engine (TRACE) Rule Change: Report Bond Trades As Soon As Practicable
The SEC recently approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules. FINRA Rule 6730 will require member firms to report…
Here at Knopman, we closely monitor FINRA changes to ensure that candidates preparing for FINRA examinations are fully equipped with up-to-date…
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