FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to October 26, 2021, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15,
SR-FINRA-2008-048 - Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860 to extend a pilot program increasing certain options position and exercise limits to March 1, 2007.
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
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 7610A to modify the securities transaction credits applicable to non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting
Reducing the Time for Chairperson Selection
FINRA understands that certain jurisdictions and SROs that require a branch office to be either “registered” or “notice filed,” using Form BR (Uniform Branch Office Registration Form) may not currently be able to recognize FINRA Rule 3110.19 (Residential Supervisory Location (“RSL”)).
Proposed Rule Change to Adopt FINRA Rule 11890 Series (Clearly Erroneous Transactions) in the Consolidated FINRA Rulebook
