FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
New Rate for Fees Paid Under Section 31 of the Exchange Act
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
SEC Approves New Requirements for Alternative Trading Systems
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
