SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
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 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make a technical amendment to new NASD Rule 2342 (SIPC Information). The proposed rule change serves to clarify the categories of members that are excepted from the scope of the rule.
Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide relief relating to specified option transactions under FINRA Rule 4210 (Margin Requirements).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to create new NASD Rule 1160 (Firm Contact Information) regarding the reporting of designated contact information to NASD and the annual review of such information. The proposed rule change also would amend Rule 1120 (Continuing Education Requirements), Rule 1150 (
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 2210 and Interpretive Materials thereunder, promulgate new Rule 2211, and renumber existing Rule 2211, of the National Association of Securities Dealers, Inc. The proposed rule change would modernize and clarify the rules governing member communications with the public. Among other provisions, the proposed rule
Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule.
