Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)
Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
The Financial Industry Regulatory Authority ("FINRA") (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Discovery Guide to update the Document Production Lists.
Similar to other fixed-income securities with a specified maturity rate and a schedule of interest payments, baby bonds are available for a much lower investment than most other types of corporate bonds. While this can make them more accessible to individual investors, a lower investment minimum doesn’t mean lower risks.
SR-FINRA-2008-004 - Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
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 the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
