Regulatory Notice 20-36
FINRA requests comment on a concept proposal regarding the application of FINRA rules to security-based swaps (SBS) following the Securities and Exchange Commission’s (SEC) completion of its rulemaking regarding SBS dealers and major SBS participants. Current FINRA Rule 0180, which will expire in September 2021, provides a temporary exception from the application of FINRA rules to SBS, with certain limited exceptions.
2020066356001 Jenna Kang CRD 6334679 AWC va (2020-1604794768745).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066356001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jenna Kang (Respondent) Former General Securities Representative CRD No. 6334679 Pursuant to FINRA Rule 9216, Respondent Jenna Kang submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Deadline for Comments on Regulatory Notice 20-29
FINRA Requests Comment on the Practice of Pennying in the Corporate Bond Market
Deadline for Comments on Regulatory Notice 20-33
FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Deadline for Comments on Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
SR-FINRA-2020-033
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).