Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
On July 10, 2009, FINRA halted over-the-counter trading in Motors Liquidation Company (formerly known as General Motors Corporation) because it believed the trading volume in the security represented a potential widespread misunderstanding that this security may be related to interests in the new General Motors Company, as opposed to Motors Liquidation Company.
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
New FTC Red Flags Rule Template
FINRA Recommends Review of Municipal Securities Activities
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
