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FINRA Reminds Firms of Trade Reporting Requirements for "Step out" Submissions

FINRA reminded firms using a FINRA equity trade reporting facility to "step out" of a previously reported trade to comply with relevant trade reporting requirements.

Primary Sources

  1. FINRA Trade Reporting Notice: Trade Reporting Requirements Applicable to Step-out Submissions

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Tags

Regulated Activities
Trade Reporting
Regulated Entities
Broker-Dealers
Regulated Products
Equities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA