FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
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 Amend Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
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 disseminate all last sale reports of transactions in over-the-counter ("OTC") American Depositary Receipts ("ADRs") and Canadian issues immediately upon receipt of such
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 for a pilot period.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 10308 of the NASD Code of Arbitration Procedure ("Code") relating to the classification of arbitrators.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to revise the implementation date of certain amendments to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") rules that were previously proposed by NASD pursuant to SR-NASD-2007-002. Specifically, NASD is proposing to implement the amendments to
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve
