Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2021.
Enhancement to current rules
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Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
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The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
(a) Definitions(1) For purposes of this Rule, the term "registered person" means any person registered with FINRA as a representative, principal, or assistant representative pursuant to the FINRA Rule 1200 Series or Municipal Securities Rulemaking Board (MSRB) Rule G-3.(2) For purposes of this Rule, the term "disciplined firm" means:(A) a member that, in connection
