Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt new Rule 5150 to provide NASD with authority to exempt members from certain new NASD trade reporting requirements for the Alternative Display Facility ("ADF") and the NASD Trade Reporting Facilities ("TRFs") relating to Regulation NMS.
Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) provide notice that the amendments to the Rule 4700 Series that were approved pursuant to SR-NASD-2006-104 will not be implemented; (2) implement certain amendments that were approved pursuant to SR-NASD-2006-104 upon the operation of the Nasdaq Stock Market LLC (
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to July 20, 2020 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Supplemental Inventory Schedule (“SIS”) pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) so that members that are filers of FOCUS Report Part II will not be required to file the SIS. The proposed rule change does not
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
NASD Regulation, Inc., has filed with the SEC a proposed rule change to add NASD Rule 3115 and to amend NASD Rule 3340 to establish record-keeping requirements for Alternative Trading Systems ("ATSs") that trade security futures, and to require ATSs to coordinate trading halts with markets trading the underlying securities and markets trading related securities.
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
