FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Guidance on FINRA’s Suitability Rule
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
FINRA Announces Results of SFAB, NAC and District Committee Elections
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
