FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
FINRA Rule 2360(b)(3)(B) provides that “…no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such transaction
NASD has filed with the SEC ") a proposed rule change to amend Interpretive Material 3130 ("IM-3130") to change references to "paragraphs (b)(2) and (c)(2)" of Rules 3030 and 3031 to "paragraphs (c)(2) and (d)(2)" in IM-3130(a), (c), (d), and (e); and change references to "the Association" to "NASD" in IM-3130, thereby conforming the rule
SR-FINRA-2009-007 - Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282, and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282
SR-FINRA-2009-006 - Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SEC Approves New Supervision Rules
The Books and Records 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.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make permanent the portfolio margin pilot program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g).
