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December 8, 2009 karen

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RSS feed: FINRA Notices FINRA Notices

  • Regulatory Notice 26-16
    Summary FINRA has amended its TRACE rules to expand the scope of the principal transaction indicator (previously applicable only to transactions with non-member affiliates) to also include transactions with member affiliates. This change will improve transparency in TRACE-eligible securities by streamlining dissemination of same-priced prints reflecting related transactions between a member and its member affiliate. The […]
  • Information Notice 8/3/26
    SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:
  • Regulatory Notice 26-15
    SummaryA broker-dealer’s duty of best execution is a key investor protection and safeguard of market integrity. FINRA Rule 5310, together with its related body of interpretive guidance, provides principles-based standards for member firms in connection with their duty to ascertain the best market for their customers’ orders.
  • Regulatory Notice 26-14
    Summary FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).

RSS feed: SEC Press Releases SEC Press Releases

  • SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
    The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade…
  • SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
    The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of state law.The Commission outlined…
  • SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
    The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in…

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  • REMINDER: Compliance with Reg S-P Amendments Due Soon for “Smaller Entities” May 18, 2026

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