Summary
FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
SummaryFINRA seeks comment on a proposed new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside activities of member firms’ associated persons, including registered persons (the Proposal). The Proposal is the result of FINRA's retrospective review of FINRA's rules governing outside business activities (OBAs) and private securities
The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.
The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.
Summary Definitions and Data Fields
Term
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Notice of SFAC Election and Ballots
FINRA and ISG Enhance Electronic Blue Sheet Submissions
FINRA has commented on the following topics.
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
