FINRA

FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities

Four years after the SEC’s adoption of its pay-to-play rule for investment advisers, FINRA is now proposing its own. The SRO’s proposed rule is aimed ...

Neither side is talking for the record but newly-filed court documents describe a deteriorating office environment that ultimately led to the firing of a FINRA ...

FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions ...

SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing ...

FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional ...

FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule Comment ...

Investors appear to be willing to pay for better protection. A FINRA survey released last week reveals that three-quarters of investors would back additional regulatory ...

FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems ...

FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last ...