Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
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These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
MSRB Markup/Markdown Analysis Report
The report is a monthly compliance tool that provides an analysis of the markup
Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers
Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
Summary
FINRA amended its Code of Arbitration Procedure for Customer Disputes (Customer Code) to expand a customer’s options to withdraw an arbitration claim if a member firm or an associated person becomes inactive.1 These amendments also allow customers to amend pleadings, postpone hearings, request default proceedings and receive a refund of filing fees in these situations.
The amendments
Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
