Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
The Joint NASD/Industry Task Force recommended two changes to mutual fund confirmations that are intended to help investors determine whether they received all the breakpoints discounts to which they were entitled on each mutual fund transaction.
This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.
Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
2012 Annual Audit and FOCUS Report Filing Deadlines
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
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).
