Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
Regulatory Notice
Suggested Routing
Senior Management
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Executive Summary
On January 29, 1996, the Securities
and Exchange Commission (SEC)
approved amendments to Sections
1(a)(v)
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
