GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-3013 (Annual Compliance
and Supervision
I'm concerned about the limited ability for me to purchase a product that I believe is the best product for me if the proposed rule #S7-24-15 is applied, I believe current laws and rules are sufficient without some additional perceived protection by FINRA or another agency.
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2360 (Options) to increase the position and exercise limits for conventional options on certain exchange-traded funds (“ETFs”).
TRACE Reporting Timeframes and Transparency Protocols1Type of TRACE-Eligible SecurityOther Transactions - Reporting TimeframesList or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting TimeframeTransparency2Corporate Bond (see FINRA Rule 6710(a))Within 15 minutes of time of execution (see
Proposed Rule Change to Adopt FINRA Rules 2262, 2269 and 5260 in the Consolidated FINRA Rulebook
Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
