The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
Today in the United States, nearly 40 million people are age 65 and older. This number is expected to more than double to 89 million by 2050.
Rulemaking topics discussed include:
arbitration procedures: whistleblower claims,
publicly disseminate transactions in agency pass-through mortgage-backed securities traded "to be announced" (TBA),
maintenance of certain records in a central location, and
membership application forms.
The FINRA Board of Governors will consider the following rulemaking items at its September 2011 meeting.
Rulemaking topics discussed include:
arbitration claims involving fair labor standards act,
DPP/REIT account values,
identifying information barriers in OATS, and
representing customer interest.
The FINRA Board of Governors will consider the following rulemaking items at its July 2011 meeting. After the July 14 meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
Rulemaking topics discussed include:
code of procedure,
governmental accounting standards board support fee,
mid-case arbitration referrals,
MPIDs for market access arrangements,
private placement of securities,
qualification examination and continuing education fees, and
trading activity fee rate adjustment.
The FINRA Board of Governors will consider the following rulemaking items at its April 2011 meeting. After the April 14 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.
The following information applies only to service providers that require access to File Transfer Applications on behalf of FINRA member firms.
Rulemaking topics discussed include:
a study on enhancing investment adviser examinations,
a study on investment advisers and broker-dealers,
a concept proposal on client disclosure,
third-party service providers.
