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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Certain 'Sold Short' Trade Reports Due FINRA Refund
[ by Howard Haykin ]
Member firms that submitted trade reports designated as "sold short" or "sold short exempt" to the OTC Reporting Facility (ORF) from 1/3/11 to 1/27/12, using the Financial Information eXchange (FIX) protocol may be eligible for a billing adjustment. This also would apply to trades on the OTC Bulletin Board.
Firms that used the FIX protocol to submit short sale or short sale exempt trades during the above dates, and used invalid data combinations which resulted in an interpretation that did not reflect the parties' intention, your firm may be eligible for a billing adjustment.
FINRA currently is accepting billing adjustment requests with supporting documents. The cutoff for requests submissions is 11/23/12. Requests received after 11/23 will not be considered.
For further details, go to: [ORF Announcements, 9/17/12], [OTCBB Announcements, 9/17/12], and [Additional Information].
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