Guidance on FINRA’s Suitability Rule
Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts
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 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) in the finest increment captured by the system used to
NASDR has filed with the SEC a proposed rule change to amend National Association of Securities Dealers, Inc. Rule 3010 to state that firms should review incoming, non-electronic correspondence to identify customer complaints and funds.
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
On February 27, 2014, the SEC approved FINRA's proposed rule filing SR-FINRA-2013-050. The approved amendment to the OATS rules requires firms to express time in milliseconds when reporting order information to OATS if the firm's systems capture time in milliseconds, effective April 7, 2014.
Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Effective January 1, 2008,1 Dual Member firms will not be required to disclose the name of the securities market on which the transaction was effected on confirmations or reports as required under NYSE Rule 409(f).
Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers
Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
