ACTION REQUESTED
Alternative Display Facility
SEC Comment Period Expires: January 21, 2002
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Alternative Display Facility
Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
SR-FINRA-2009-002 - Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Finra regulatory rules pertaining to leveraged and inverse funds should not be changed. The choice and ability to own and invest in these instruments should not be limited to high net worth individuals. Investing in the leveraged funds is safer than using margin. Finra's current rules should not be changed.
