Cover Letter from FINRA Chairman and CEO, Rick Ketchum
January 11, 2013
Today, FINRA published its eighth annual
2013 Regulatory and Examination Priorities Letter
to highlight the key issues that are significant to our regulatory programs. This letter is an important part of our work to support your efforts to regularly update your compliance capability. It is my
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt (1) FINRA Interpretive Material 1013-3 (“IM-1013-3”) that would set forth a short-form membership application process for firms that apply for FINRA membership due to the amendments to Exchange Act Rule 15b9-1, adopted by
SR-FINRA-2008-066 - Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to make various clarifying and technical changes to the Codes, including in response to recommendations in the report of independent counsel Lowenstein Sandler LLP.
Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)
O'TOOLE INSURANCE & SECURITIES14-30 COLLEGE POINT BLVD, COLLEGE POINT, NY 11356OAK HILLS SECURITIES, INC.121 NE 50TH, OKLAHOMA CITY, OK 73105OAK TREE SECURITIES, INC.4049 FIRST STREET, SUITE 129, LIVERMORE, CA 94551-4949OAKLINS DP LLC90 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10016OAKPOINT SOLUTIONS, LLC100 SOUTH ASHLEY DRIVE, SUITE 1130, TAMPA, FL 33602OAKWOOD CAPITAL SECURITIES, INC.
October 3, 2022 Ronald W. Smith Jennifer Piorko Mitchell Corporate Secretary Office of the Corporate Secretary Municipal Securities Rulemaking Board FINRA 1300 I Street NW 1735 K Street NW Washington, DC 20005 Washington, DC 20006-1506 Dear Mr. Smith and Ms. Mitchell: I am the General Counsel of Colliers Securities LLC. I am writing you this letter relating to The Municipal Securities Rulemaking
