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SR-FINRA-2016-036
Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
Regulatory Notice 16-34
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Notice to Members 99-100
INFORMATIONAL Dispute Resolution Subsidiary SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Dispute Resolution Mediation The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own
Notice to Members 99-101
INFORMATIONAL Web-Based Regulatory Applications SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Systems Forms/Electronic Filing The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
SR-FINRA-2016-035
Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Notice to Members 99-102
INFORMATIONAL Reg T And SEC Rule 15c3-3 Reason Codes Effective Date: February 7, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Regulation T SEC Rule 15c3-3 The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate
Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Notice to Members 99-103
INFORMATIONAL Investment Companies And Variable Contracts Effective Date: April 1, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Mutual Fund Registered Representatives Senior Management Training Variable Contracts Investment Companies
Tick Size Pilot Security List
On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the