SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
New Rate for Fees Paid Under Section 31 of the Exchange Act
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
SEC Approves Consolidated FINRA Best Execution Rule
Notice of SFAB Election and Ballots
Notice of FINRA District Committee Elections and Ballots
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
SEC Approves Consolidated FINRA Customer Order Protection Rule
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Five-Day Period for Replies to Responses to Motions in Arbitration
