Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Exemptive relief is granted based on: the representation that at the time of the contribution the individual had no connection to the firm’s municipal securities business, and it was not contemplated that, at the time of the contribution, he would be promoted and, thus, become a municipal finance professional (as defined); the firm has significant and long standing business relationships with the government entity of which the contribution recipient was an issuer official; the firm has established additional compliance processes about political contributions; the individual will not be involved in any way in municipal securities business with the state or any other governmental issuer business for which the contribution recipient is an issuer official.
Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Application of NASD Rule 2330(f) to Proposed Profit Sharing Arrangement.
Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
SR-FINRA-2009-008 - Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312
