Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook
Consolidated Audit Trail (CAT)Customer Order Handling: Best Execution and Order Routing DisclosuresRegulation SHO – Bona Fide Market Making and Close-Out RequirementsFixed Income – Fair PricingOTC Quotations in Fixed Income SecuritiesMarket Access RuleExtended Hours Trading NEW FOR 2025Previous:Annuities Securities ProductsUp:Market IntegrityNext:Consolidated Audit Trail (CAT)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Membership and Registration Rule 1022(b) (Limited Principal - Financial and Operations ("FINOP")), Membership and Registration Rule 1022(c) (Limited Principal - Introducing Broker/Dealer Financial and Operations ("Introducing FINOP")), and Procedural
The Outside Business Activities and Private Securities Transactions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
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EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 35(d)(2)(D) of the NASD Rules of Fair Practice relating to testimonials used in members' communications with the public. The rule amendment limits application of the rule
SEC Approval and Effective Date for New Consolidated FINRA Rules
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt NASD Rules 2110, 2120, and 2290 as FINRA rules in the consolidated FINRA rulebook without material change and to delete Incorporated NYSE Rule 401(a), Incorporated NYSE Rule 435, with the exception of paragraph (5), and NYSE Rule Interpretations 401/01 and 401/02.
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2024 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
