Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
FINRA Announces New Web-based System for the Collection of Short Interest Positions
In March 2016, the SEC approved the adoption of FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers).
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
The
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Notice of Annual Meeting of FINRA Firms and Proxy
Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
