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ARTICLE · 01 DECEMBER 2016

FINRA Highlights Developments In Transaction Reporting And Data Dissemination For Inclusion In Firm Element Training Plans

Hogan Lovells Cadwalader
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FINRA focused on transaction reporting and data dissemination in a podcast on core elements for firm training plans.

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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FINRA focused on transaction reporting and data dissemination in a podcast on core elements for firm training plans. This was the second podcast in the FINRA Continuing Education Council's Fall 2016 Firm Element Advisory four-part series.

The podcast highlighted the following developments:

  • Best Execution Rule. The Firm Element Advisory provides a link to guidance that (i) clarifies FINRA's best execution rule in relation to automated markets as well as securities in any markets that have limited quotation or pricing information available; and (ii) requires firms to regularly and rigorously examine execution quality likely to be obtained from the different markets trading a security.

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