The Consolidated Audit Trail (CAT) topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
This filing was withdrawn and replaced by
SR-NASD-2006-035.NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2, Trading Ahead of Customer Limit Order (commonly referred to as the "Manning Rule"), to codify NASD's existing position that the Manning Rule
Executive Summary
On May 9, 1996, the Securities and Exchange Commission (SEC) approved an amendment to NASD Rule 4612 (formerly Section 49 of the NASD Rules of Fair Practice), the NASD's Primary Market-Maker (PMM) Standards Rule. The approved amendment deletes a provision from Rule 4612 that allows a market maker to qualify as a PMM in a security by registering in the issue and refraining
Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
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 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to exempt additional persons from the scope of the rules, modify current
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.
GUIDANCE
Arbitration Time Limits
Effective Date: May 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Arbitration
Dispute Resolution
Eligibility of Arbitration Claims
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to Rule 10304 of the NASD Code of Arbitration
Procedure (Code) relating to time limits on
Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
