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2015


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Contents:
15-52 SEC Staff Provides Insight Into Firms' Obligations When Providing Stock Quote Information to Customers
15-51 Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities; Effective Date: February 1, 2016
15-50 SEC Approves Rule Requiring Members' Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck; Effective Date: June 6, 2016
15-49 SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck; Effective Date: December 12, 2015
15-48 SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems; Effective Date: April 2, 2016
15-47 SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report; Implementation Date: May 23, 2016
15-46 Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
15-45 FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements; Implementation Date: January 4, 2016
15-44 FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements; Effective Date: November 1, 2017
15-43 FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI; Effective Date: November 3, 2015
15-42 FINRA to Require Electronic Submission of Subordination Approval Requests; Effective Date: November 30, 2015
15-41 SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable; Effective Date: November 30, 2015
15-40 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016; Payment Deadline: December 18, 2015
15-39 FINRA Revises the Series 27 and Series 28 Examination Programs; Implementation Date: December 14, 2015
15-38 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
15-37 FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults; Comment Period Expires: November 30, 2015
15-36 FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions; Comment Period Expires: December 11, 2015
15-35 SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders; Effective Date: November 2, 2015
15-34 SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents; Effective Date: March 30, 2016
15-33 Guidance on Liquidity Risk Management Practices
15-32 FINRA Filing Requirements and Review of Regulation A Offerings
15-31 SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports; Effective Date: February 22, 2016
15-30 SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports; Effective Date: September 25, 2015, or December 24, 2015
15-29 FINRA Revises the Series 4 Examination Program; Implementation Date: September 28, 2015
15-28 SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education; Effective Date: October 1, 2015
15-27 Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
15-26 FINRA Requests Comment on a New Academic TRACE Data Product; Comment Period Expires: September 14, 2015
15-25 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
15-24 FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data; Comment Period Expires: August 24, 2015
15-23 FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
15-22 FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions; Comment Period Expires: August 17, 2015
15-21 SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing; Effective Date: July 6, 2015
15-20 FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program; Comment Period Expires: July 27, 2015
15-19 FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative; Comment Period Expires: July 13, 2015
15-18 SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator; Effective Date: June 26, 2015
15-17 Guidance on Rules Governing Communications With the Public
15-16 FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public; Comment Period Expires: July 2, 2015
15-15 The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability; Effective Immediately
15-14 SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports; Effective Date: November 2, 2015
15-13 FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms; Comment Period Expires: June 19, 2015
15-12 2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
15-11 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
15-10 FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules; Comment Period Expires: May 14, 2015
15-09 Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
15-08 Changes to Qualification Examination Fees
15-07 SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation,*
15-06 FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies; Comment Period Expires: May 18, 2015
15-05 SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants; Effective Date of FINRA Rule 3110(e): July 1, 2015; Effective Date of FINRA Rule 3110.15: April 24, 2014, to December 1, 2015
15-04 FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products; Comment Period Expires: April 10, 2015
15-03 FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes; Comment Period Expires: April 7, 2015
15-02 SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities; Effective Date: April 11, 2016
15-01 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 16, 2015