On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
FINRA today issued new research that provides a deep and focused look at the state of liquidity in the U.S. corporate-bond market.
Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
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)
WASHINGTON — The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors that will take place in Philadelphia on Feb. 3, 2016, and be webcast live on the SEC website.
The SEC's Office of Compliance
