FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
FINRA Small Firm Advisory Board Election
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
SEC Approval and Effective Date for New Consolidated FINRA Rules
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
