SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt temporary Supplementary Material .16 (Temporary Extension of Time to Complete Office Inspections) under FINRA Rule 3110 (Supervision) that, in light of the operational challenges member firms are facing due to the outbreak of the
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1 ) NASD Rule 6210(a), the definition of "TRACE-eligible security," by (A) deleting the requirement that a debt security be registered under the Securities Act of 1933 ("Securities Act"), thus including debt securities that are
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) to reduce certain fees that are currently in effect for the Trade Reporting and Compliance Engine (TRACE). In addition, NASD is proposing revisions to Rule 7010(k) that are technical in nature to reflect NASD’s change in corporate name. For example, references to "the Association" have been replaced with
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
NASD has filed with the SEC a proposed rule change to amend the pilot rule in IM-10100(f) and (g) of the Code of Arbitration Procedure.
