SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2710 to reinsert certain existing rule language that was inadvertently omitted from amendments to Rule 2710 that the Commission recently approved.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2210 to reinsert certain existing rule language that was inadvertently omitted from amendments to Rule 2210 that the Commission recently approved.
Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt without material change NASD Rules 3060 (Influencing or Rewarding Employees of Others) and 3090 (Transactions Involving Association and American Stock Exchange Employees).
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
