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FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing

Posted by GFT on 23rd Mar 2018

Summary As required by Regulation Systems Compliance and Integrity (Regulation SCI), FINRA, in 2015, adopted Rule 4380 requiring member firm participation in business continuity and disaster recover … read more

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Extension of Time Requests Relating to FINRA Rule 4210

Posted by GFT on 23rd Mar 2018

Executive Summary FINRA is updating the Regulatory Extension (REX) system to include enhanced functionality that will better enable firms to request extensions of time related to FINRA Rule 4210, in … read more

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FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing

Posted by GFT on 30th Oct 2017

Summary As required by Regulation Systems Compliance and Integrity (Regulation SCI), FINRA, in 2015, adopted Rule 4380 requiring member firm participation in business continuity and disaster recover … read more

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