Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Technology Changes for Reporting Certain Complaint
and Disclosure Information
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Summary
FINRA is soliciting comment on a proposal to amend FINRA Uniform Practice Code Rule 11880 (Settlement of Syndicate Accounts). The proposed amendments would reduce the maximum time for the final settlement of syndicate accounts in a public offering of corporate debt securities from 90 days to 30 days following the syndicate settlement date.
Questions concerning this Notice should be
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretative Material 8310-2 ("IM-8310-2") to give NASD authority to release to the public, in unredacted form, information with respect to any decision issued by the National Adjudicatory Council ("NAC") pursuant to Rule 1015.
I strongly oppose any rule that limits my (or others') ability to implement investment strategy, which at times includes the use of options and leveraged/inverse exchange-traded products. I believe such a rule would cause me personal financial harm. Although I have decades of experience with such products, I oppose any rule for which I must pass tests or meet any arbitrary net worth standard
Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules
