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Judicial Council of California
Trial Court Financial Policies and ProceduresPolicy No.
Page FIN 15.02
1 of 29INDIRECT COST RATE PROPOSAL (ICP)
POLICY NUMBER: FIN 15.02Revised: December 2016Trial Court
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What is fin 15?
FIN 15 refers to Financial Industry Regulatory Authority (FINRA) Rule 15, which sets forth requirements for the reporting of transactions in municipal securities.
Who is required to file fin 15?
Broker-dealers and municipal securities dealers are required to file FIN 15 reports with FINRA.
How to fill out fin 15?
FIN 15 reports can be filled out electronically through the Electronic Municipal Market Access (EMMA) system.
What is the purpose of fin 15?
The purpose of FIN 15 is to promote transparency and facilitate regulatory oversight in the municipal securities market.
What information must be reported on fin 15?
FIN 15 reports must include details about transactions in municipal securities, such as security identifiers, trade dates, prices, and quantities.
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