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 Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
The Neutral Corner Volume 3 - 2016
Mission Statement
Bates Numbering: A Best Practice by Gregory Curley and Glenn S. Gitomer
Attorneys Serving as Arbitrators: A Cautionary Tale About Disclosure by Rushelle Bailey, FINRA Corporate Intern
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Robert W. Cook Named FINRA’s President and
FINRA (f/k/a National Association of Securities Dealers, Inc. or "NASD") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the definition of office of supervisory jurisdiction ("OSJ") in NASD Rule 3010(g)(1) to exempt locations that solely conduct final approval of research reports.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change: (1) to adopt NASD IM-6230, providing for exemptive relief from various reporting requirements for transactions in TRACE-eligible securities executed in connection with the termination or settlement of a credit default swap ("CDS") or a similar instrument; and (2
REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Corporate FinancingExecutive
RepresentativesLegal & ComplianceSenior
ManagementOperations
AffiliatesControl EntityInstitutional
AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D
Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”). In particular, FINRA and the national securities exchanges, as CAT NMS Plan Participants, have entered into a Rule 17d-2 Plan and corresponding Regulatory Services Agreements (RSAs) to coordinate regulation of the CAT
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2790 to expand the exemption for securities that are directed by the issuer to include offerings sold entirely on a non-underwritten basis, where no broker-dealer solicits or sells any new issue securities in the offering, and where no broker-dealer has
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 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on February 13, 2015, for an additional three months
