FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the provisions of FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials) relating to seeking reimbursement from issuers for forwarding proxy and other materials and to make minor conforming revisions
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (c) of FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) to clarify the application of specified FINRA rules to transactions in, and business activities relating to, exempted
SEC Approves Consolidated Telemarketing Rule
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
Learn how to submit a Form BR amendment related to the Residential Supervisory Location (RSL) rule. In this short video (2:02 minutes), FINRA demonstrates a scenario for an existing branch that was previously filed with FINRA, the NYSE, and a state, but is now an RSL for FINRA and the NYSE, but not with the state.
NASD is filing with the Securities and Exchange Commission a proposed rule change to repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in light of the requirements of the SEC’s new short sale regulation, Regulation SHO under the Act. The SEC has indicated that it expects that Reg SHO provisions will supplant existing overlapping self-regulatory organization (SRO) rules.
