SEC Approval and Effective Dates for New Consolidated FINRA Rules
FINRA Provides Guidance on Pandemic Preparedness
SEC Approves Amendments Regarding Best Execution and Interpositioning
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Nominees for FINRA Board of Governors
