Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
