FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2, Trading Ahead of Customer Limit Order ("Manning Rule").
Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to March 25, 2021, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand the scope of Interpretive Material (IM) 2110-2 (the "Manning Rule") relating to trading ahead of customer limit orders to apply to all over-the-counter ("OTC") equity securities.
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
NASDR has filed with the SEC a proposed rule change to amend Rule 3110 (the "Books and Records Rule") of the Conduct Rules of the National Association of Securities Dealers, Inc. to: (1) change the definition of "institutional account" to include the accounts of investment advisers that, under the National Securities Markets Improvement Act of 1996 and new rules adopted by the
