New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
Trading Pause Rule Expanded to All NMS Stocks
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
