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Tag: Trade Reporting

FINRA Rule 6730 and MSRB Rule G-14 Updates: New Trade Reporting Requirements

In Rule UpdatesTags FINRA Rule, MSRB, Trade ReportingJuly 18, 2016 Marcia Larson

FINRA Rule 6730 and MSRB Rule G-14 will be updated with reporting changes that are effective on Monday, July 18. These changes reflect the continued efforts by FINRA and the MSRB toward greater transparency for all market participants. …

Trade Reporting and Compliance Engine (TRACE) Rule Change: Report Bond Trades As Soon As Practicable

In Exam Content, Knopman News, Series 24, Series 7Tags FINRA Rule, Trade ReportingNovember 2, 2015 Dave Meshkov

The SEC recently approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules. FINRA Rule 6730 will require member firms to report the TRACE-eligible transactions (mostly trades in bonds) as soon as practicable, but no later than within 15 minutes …

2013 FINRA Changes and Those to Come

In Knopman News, Series 24, Series 63, Series 7, Series 79Tags FINRA Rule, The JOBS Act, Trade ReportingDecember 18, 2013 Liza Streiff

Here at Knopman, we closely monitor FINRA changes to ensure that candidates preparing for FINRA examinations are fully equipped with up-to-date content and knowledge. Such changes not only impact those preparing to take exams like the Series 7, 24, …