SR-FINRA-2020-001
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to September 1, 2021. FINRA Rule 0180 temporarily limits, with certain exceptions, the application of FINRA rules with respect to security-based swaps.
Deadline for Comments on Regulatory Notice 20-02
FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule