Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
FINRA is issuing this OATS Report to clarify a firm’s OATS reporting obligations when receiving an instruction to reduce the shares quantity of an order. FINRA understands that a customer’s wish to reduce the shares quantity of an order may be communicated to firms in one of two ways as explained in further detail below. Firms should report to OATS in accordance with the customer’s instruction.
Upcoming Election to Fill FINRA District Committee Vacancies
FINRA Small Firm Advisory Board Election
The FINRA test facility (NTF) will be unavailable for testing all FINRA Multi Product Platform (MPP) facilities, on Friday, August 29, 2014.
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
