Summary
FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum. The amendments impose requirements on expungement requests (a) filed by an associated person during an investment-related, customer-initiated arbitration (customer
Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) in the finest increment captured by the system used to
NASDR has filed with the SEC a proposed rule change to Rule 10201 of the Rules of the National Association of Securities Dealers, Inc.
SR-FINRA-2009-022 - Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
FINRA Revises the Sanction Guidelines
Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
