Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to apply minimum fees to requests for expungement of customer
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
NASDR has filed with the SEC a proposed rule change to Section 13 of Schedule A of the by-laws of the NASD to change the fee rates relative to the review of advertising.
FINRA is aware of the Log4J vulnerability and has taken immediate steps to neutralize the risk. The mitigation tactics deployed by FINRA include defining alerts for exploit attempts, implementing web application firewall (WAF) rules designed to prevent exploitation of the vulnerability, conducting scans to confirm WAF rules are working as expected, and beginning to update Log4J libraries
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
Arbitrator List Selection Method for Intra-Industry Disputes
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
