Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
SUGGESTED ROUTING*
Government SecuritiesLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has adopted amendments to Rule 17M, also known as the Lost and Stolen Securities Program. Among other things, the amendments: 1) expand the definition of
Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
