Category Archives: FINRA

Webinar FINRA: Fixed Income Report Cards Online Demo – 10/22

Fixed Income Report Cards Demonstration
October 22, 2015
2:30 p.m. – 4:00 p.m.

FINRA is hosting a WebEx presentation discussing new and updated fixed income-related Report Cards. This session provides an overview of these Trade Reporting and Compliance Engine (TRACE) and municipal report cards, presents the features and benefits of each, and includes suggestions for how firms can use them to support their compliance activities. FINRA also highlights the implementation of a monthly member outreach program relating to report card statistics.

The WebEx session is designed for those who use TRACE or municipal report cards.

Register for this event.

If you have any questions you would like addressed during the presentation, please email them in advance to tracefeedback@finra.org.

Please note:
Since there are a limited number of lines available for this call, please register as soon as possible and plan to share a phone line with others at your firm to help us maximize participation.

 

Advertisements