Amendments to the Arbitration Rules Regarding Deficient Claims
The Trading Examinations Unit (“TEU”) within the Trading and Financial Compliance Examinations (“TFCE”) group of the Market Regulation Department at FINRA is conducting a review of processes and procedures of ABC Securities LLC (“the Firm”) in connection with order routing and execution quality of customer orders in exchange listed stocks.
SEC Approves Amendments Regarding Best Execution and Interpositioning
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
Summary
The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed
08-51 - SEC Approves Amendments to FINRA's Transaction Reporting Rules to Require Prompt Last Sale Reporting of Transactions in Foreign Securities
FINRA Revises the Series 55 Examination Program
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Arbitration Panel Composition for Promissory Note Disputes
