The FINRA Board of Governors will consider the following rulemaking items at its July 2012 meeting.
On November 5, 2012, FINRA will release the Securitized Products Dissemination ServiceSM (SPDSSM). The SPDS data feed will be used to broadcast last sale price and other relevant trade data to authorized market data vendors for TRACE-eligible asset-backed , securities (collectively known as securitized products).
FINRA TRACE Fact Book Archive
Account Administrators (AAs) in the FINRA Entitlement Program are responsible for creating, maintaining and deleting their organization’s user accounts, and following the policies and procedures that are required by the Program.
Rulemaking topics discussed include: FOCUS report supplementary schedule,
markups, commissions and fees,
OATS reporting of certain market-making and customer facilitation orders,
OCC cleared OTC options and related amendments,
"public" arbitrator definition,
pricing proposals, and
stop orders.
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
Rulemaking topics discussed include:
agency pass-through mortgage-backed securities and securities backed by Small Business Administration transactions,
deferred compensation arrangements and filing exemption for ETF offerings,
margin requirements for credit default swaps, and
spinning.
The FINRA Board of Governors will consider the following rulemaking items at its February 2012 meeting.
Rulemaking topics discussed include:
debt research conflicts of interest,
expungement for persons not named as parties in arbitration claims,
fee adjustment proposals,
mediator selection,
optional TRACE data delivery services and related fees,
subpoenas and orders of production in arbitrations, and
threshold for simplified arbitration.
The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
