WebCAT Reporting Timeline – Key Dates. March 18-June 27, 2024: Consolidated Audit Trail Registration; September 30, 2024: Connectivity testing begins; December 16, 2024: Industry testing begins; June 22, 2024: Initial equities reporting for large broker-dealers and small broker-dealers that currently report to FINRA’s Order Audit Trail System (OATS) July … WebSep 29, 2024 · A final rule implementing the beneficial ownership information reporting requirements of the Corporate Transparency Act (CTA) was issued in September 2024. These regulations go into effect on January 1, 2024. Beneficial ownership information will not be accepted prior to January 1, 2024. The Corporate Transparency Act (CTA) …
Beneficial Ownership Information Reporting FinCEN.gov
WebFeb 24, 2024 · March 26, 2024 GT Alert. 2024 SEC Examination Priorities for Securities Industry Registrants. February 18, 2024 GT Alert. 2024 Report on FINRA’s Examination and Risk Monitoring Program. October 08, 2024 GT Alert. SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets. and . WebDec 17, 2024 · FINRA recently released a notice about 2024 and first quarter of 2024 FINRA Report Filing Due Dates to assist members in their financial reporting obligations for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings.. Remember that all filings submitted … psychiatrist near me bipolar disorder
2024 Broker-Dealer Regulatory Filings Calendar ACA Group
Web26 rows · Apr 7, 2024 · 34-97062. Mar. 7, 2024. Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain … WebJan 27, 2024 · Beginning August 1, 2024, FINRA CAT will contact Full CAIS Submitters (i.e., self-reporting firms and CAT Reporting Agents that report to CAIS on behalf of Industry Members) to schedule a single partial submission on a single date to the Production Environment in Full CAIS format. WebApr 5, 2024 · FINRA policy supplement an product away Regulation T for placing "maintenance" margin requirements about customer account. Under these general, while a global material, aforementioned customer’s equity in the account should not fall back 25 percent off the current marketplace value of this security in the account. hosmed 2023 contributions