FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
INFORMATIONAL
Decimalization
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Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
Similar to other fixed-income securities with a specified maturity rate and a schedule of interest payments, baby bonds are available for a much lower investment than most other types of corporate bonds. While this can make them more accessible to individual investors, a lower investment minimum doesn’t mean lower risks.
Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook
SR-FINRA-2009-002 - Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
Application of <em>NASD Notice to Members 90-52</em> to member firms that do not recommend securities transactions to their customers, but limit their business to accepting unsolicited orders from customers (under former Article III, Section 2, now Rule 2310).
