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2016


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Contents:
16-44 SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators; Effective Date: January 3, 2017
16-43 SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product; Effective Date: February 27, 2017
16-42 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017; Payment Deadline: December 16, 2016
16-41 SEC Approves Amendments to Rules Governing Communications With the Public; Effective Date: January 9, 2017
16-40 SEC Approves FINRA "Pay-To-Play" and Related Rules; Effective Date: August 20, 2017
16-39 SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE); Reporting Implementation Date: July 10, 2017
16-38 SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions; Effective Date: March 20, 2017
16-37 SEC Approves FINRA's Capital Acquisition Broker (CAB) Rules; Effective Dates: January 3, 2017 (CAB Member Application and Associated Person Registration Rules) and April 14, 2017 (All Other CAB Rules)
16-36 SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets; Effective Date: October 24, 2016
16-35 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
16-34 FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities; Comment Period Expires: November 29, 2016
16-33 FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only; Effective Date: September 12, 2016
16-32 FINRA Announces New Web-based System for the Collection of Short Interest Positions; Effective Date: January 10, 2017
16-31 SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions; Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017
16-30 FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
16-29 FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules; Comment Period Expires: September 23, 2016
16-28 SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks); Implementation Date: November 7, 2016
16-27 FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council; Effective Date: August 11, 2016
16-26 FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility; Effective date: August 22, 2016
16-25 Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
16-24 FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
16-23 SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities; Effective Date: August 15, 2016; Phase 1 Implementation Date*
16-22 SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions); Effective Date: April 3, 2017
16-21 SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies; Effective Date: January 30, 2017
16-20 SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers; Effective Date: August 1, 2016
16-19 FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
16-18 SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative; Effective Date: November 11, 2016
16-17 FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
16-16 2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
16-15 Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems; Effective Date: July 18, 2016
16-14 FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data; Implementation Date: October 3, 2016
16-13 Revised SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities
16-12 FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
16-11 SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items; Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016
16-10 Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
16-09 FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2; Comment Period Expires: April 4, 2016
16-08 Private Placements and Public Offerings Subject to a Contingency
16-07 SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act); Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other than Registration Requirements): May 16, 2016
16-06 SEC Approval of FINRA Funding Portal Rules and Related Forms; Effective Date: January 29, 2016
16-05 SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
16-04 SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc; Effective Date: December 20, 2015
16-03 SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities; Implementation Date: December 14, 2015
16-02 FINRA Revises the Series 9/10 Examination Program; Implementation Date: March 7, 2016
16-01 Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 15, 2016