Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed a proposed rule change to Rule 10335 the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the effectiveness of the rule for one year, pending Commission action on a rule filing to amend the rule and make it a permanent part of the Code.
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
The reality is that PDT rules don’t account for individual circumstances, tools, or strategies. They limit growth, punish responsible trading, and fail to adapt to the tools and insights available to today’s traders.
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 adopt the NASD Rule 0100 Series as FINRA rules in the consolidated FINRA rulebook.
SR-FINRA-2009-019 - Proposed Rule Change to Adopt FINRA Rules 1010 (Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
SummaryEffective January 1, 2025, the Prospective CAT Cost Recovery Fee 2024-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and the Prospective CAT Cost Recovery Fee 2025-1 will be in effect.Questions regarding this Notice may be directed to: Amanda Rath, Associate Director, Finance, at (240) 386-
