Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
Interested in Serving on FINRA's Committees?Fill out this form to let us know.Learn MoreSFAC and Regional Committee ElectionsSmall Firm Advisory Committee The Small Firm Advisory Committee (SFAC) ensures that issues of particular interest and concern to small firms are effectively communicated to and considered by FINRA staff the FINRA Board of Governors (Board). The SFAC generally
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
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 12214(c) through (e) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rule 13214(c) through (e) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code” and together
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend certain provisions of Rule 2821.
Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
