Summary
FINRA is issuing this Notice to inform members that it is discontinuing collection of data under Rule 4540. The data collected under Rule 4540 is used in the Integrated National Surveillance and Information Technology Enhancements program (INSITE). The decision to discontinue the collection of data under Rule 4540 at this time is based on the availability of alternative sources of data
Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
FINRA Revises the Sanction Guidelines
Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2009-022 - Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
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-2008-065 - Proposed Rule Change Relating to the Extension of a Pilot Program Under Trade Reporting and Compliance Engine
Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
<p>Rule 3060 does not limit ordinary and usual business entertainment provided by a member or its associated persons to the member's clients and their guests.<br/></p>
