Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d).
The Neutral Corner – Volume 3—2024Mission StatementPro Se Parties: Tips for an Effective Hearing by Khoi Dang-Vu, Associate Regional Director, FINRA Midwest Regional Office and Dontay Phillips, Former FINRA InternFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
Amendments to Order Audit Trail System Rules Relating to Execution Reports
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
