Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to October 26, 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,
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 21, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 18
In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 &
In observance of Christmas and New Year’s Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020  
In observance of Christmas and New Year’s Day, the TRACE system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 &
In observance of Christmas and New Year’s Day, the FINRA Alternative Display Facility (ADF) system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020  
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 8312 (FINRA BrokerCheck Disclosure). The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent
Summary
In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm personnel and investors, while maintaining the public’s access to capital markets. These changes include widespread use of remote offices and alternative work arrangements and new and expanded methods
Executive Summary
FINRA has adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them.1 The new rules:
allow a Hearing Officer to impose conditions or restrictions on the activities of a Respondent member firm or Respondent associated person, and require the member firm employing a Respondent associated person to
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at
