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
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
Summary
FINRA is proposing formal procedures for bringing actions against non-associated persons who cheat or misbehave during a FINRA qualification examination. Although there are few instances of cheating, because persons who are not yet associated with a member firm may take the Securities Industry Essentials (SIE) examination or other FINRA qualification examinations, formal procedures are
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD will soon file its proposed revision of the NASD Manual with the Securities and Exchange Commission (SEC) for approval, which is expected later this year. Following SEC approval, the NASD will direct the Commerce Clearing House and vendors providing electronic versions of the NASD Manual
Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
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 FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
