SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of "new issues" by the Novartis Pension Funds.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
The Financial Industry Regulatory Authority (FINRA) Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Service (ATDS), Securitized Products Dissemination Service (SPDS) feeds and 144A Bond Trade Dissemination Service (144A) are available via a number of extranet providers, and software solutions for feed integration are available through third-party vendors. Additional vendors
