Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Five-Day Period for Replies to Responses to Motions in Arbitration
The SEC recently adopted changes to SEC Rule 144 that shorten the
holding period requirements for privately placed securities before they can
be sold into the secondary market, subject to the conditions of the rule,
and that may change industry conventions in the resale of privately placed
debt securities.
08-50 - Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
Amendments to the Arbitration Rules on Hearing Locations
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
