Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
On this free, on-demand recording of a WebEx presentation, FINRA staff members discuss new and updated fixed income-related Report Cards.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
