FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
Exemptive relief is granted based on: the representations that the contributions were made prior to employment; the individual did not engage in the solicitation of, or have involvement in, municipal securities business (as defined) for the prior six years; the firm had no knowledge of the contributions at the time they were made; the firm has established detailed and comprehensive compliance procedures and has developed information barriers surrounding the solicitation of certain municipal securities business.
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
The Joint NASD/Industry Task Force urges mutual funds to include these definitions in their prospectuses and other relevant materials as soon as is reasonably practicable.
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization.
Interim Pilot Program on Margin Requirements for Credit Default Swaps
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
