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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 21-33
    Summary FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA […]
  • Regulatory Notice 21-32
    Summary FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates […]
  • Regulatory Notice 21-31
    Summary FINRA has established a new Supplemental Liquidity Schedule (SLS).1 The new SLS, which members subject to the requirement will need to file as a supplement to the FOCUS Report, is designed to improve FINRA’s ability to monitor for events that signal an adverse change in the liquidity risk of the members with the largest customer […]
  • Election Notice – 9/1/21
    Summary The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the North region and one representing the West region.   

RSS SEC Press Releases

  • SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
    (function($) { $(document).ready(function() { $(".submitcommentslink").click(function(e) { e.preventDefault(); $(".comment-form").submit(); }); $('.panel-col-last h2.pagelet').replaceWith(function () {…
  • SEC Charges Principals of Subprime Automobile Finance Company with Fraud
    The Securities and Exchange Commission today announced fraud charges against two former executives of a subprime automobile finance company for misleading investors about the subprime automobile loans that backed its $100 million offering. The SEC's…
  • SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors
    The Securities and Exchange Commission today charged a Texas- and Colorado-based municipal advisor, Choice Advisors LLC, and its two principals, Matthias O'Meara and Paula Permenter, with violating their duties, engaging in unregistered municipal…

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  • ESG Disclosures for Investment Advisers July 2, 2021

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