Several rules require notification to FINRA and the U.S. Securities and Exchange Commission (SEC) based on certain financial and operational obligations. FINRA’s Regulatory Notifications application in FINRA Gateway provides a filing system for member firms to electronically submit this information to FINRA. For guidance related to submitting required notifications to the SEC, firms should visit the SEC’s website or contact the SEC.
SR-FINRA-2008-061 - Proposed Rule Change to Adopt IM-2110-5 (Anti-Intimidation/Coordination) as FINRA Rule 5240 in the Consolidated FINRA Rulebook Without Material Change
Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) for the period from July 16, 2024 through December 31, 2024. These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”) and referred to as “CAT Fee 2024-1.”
NASD has filed with the SEC a proposed rule change to amend Rule 2520 ("Margin Requirements") to establish margin requirements for security futures contracts. The proposed rule change is being made to make NASD’s margin rule consistent with margin rules already adopted by the SEC, the Commodity Futures Trading Commission ("CFTC") and other self-regulatory organizations ("
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority
Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the implementation date of certain amendments to FINRA Rule 4210 approved pursuant to SR-FINRA-2015-036.
