FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
SEC Approves New Requirements for Alternative Trading Systems
FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to:
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to rescind the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure relating to the waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration.
GUIDANCE
Fingerprinting Procedures
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registration
Senior Management
Best Practices
Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to (1) clarify that the scope of the relief provided in the IM extends to any registered person of a firm who volunteers for or is called into active military duty, not just registered representatives; (2) codify the staff's existing
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
