Resources for Rules Concerning Brokers with a Significant History of Misconduct
Regulatory Notice 21-09
Mapping of Disclosure Categories for Rule 1017(a)(7)
Materiality Consultation Checklist for Rule 1017(a)(7)
FINRA Taping Rule (FINRA Rule 3170)
General Information on Statutory Disqualification and FINRA’s Eligibility Proceedings
Interim Plans of Heightened Supervision FAQs
Sample
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Proposed Rule Change to Amend FINRA 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
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
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to increase the frequency of the short interest reporting requirements under Rule 3360 from monthly to twice per month.
Options Position Limits - Exemption for OTC Derivatives Dealers
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to reduce fees for the Regulatory Element of the continuing education requirements of Rule 1120.
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 amend certain provisions of Rule 2821.
