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2014


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Contents:
14-54 FINRA Reminds Firms of Extended Hours Trading Disclosures
14-53 FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
14-52 FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions; Comment Period Expires: January 20, 2015
14-51 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 Order Information by Alternative Trading Systems (ATS); Comment Period Expires: January 13, 2015
14-50 FINRA Requests Comment on a Proposal to Establish a "Pay-to-Play" Rule; Comment Period Expires: December 15, 2014
14-49 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 Session Fees; Effective Date: December 15, 2014
14-48 FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems; Comment Period Expires: Friday, January 9, 2015*
14-47 FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements; Comment Period Expires: Friday, January 9, 2015*
14-46 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 Sale Eligible; Comment Period Expires: Friday, January 9, 2015*
14-45 SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings; Effective Date: September 26, 2014
14-44 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015; Payment Deadline: December 12, 2014
14-43 SEC Approves Supplemental Inventory Schedule; Implementation Date: on or before January 30, 2015
14-42 SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators' Authority to Make Referrals During an Arbitration Proceeding; Effective Date: October 27, 2014
14-41 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
14-40 Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
14-39 New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
14-38 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
14-37 FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System; Comment Period Expires: December 1, 2014
14-36 FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data; Effective Dates: September 30, 2014 (Elimination of OTCBB Historical Research Reports); November 17, 2014 (ORF Fees)
14-35 FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements); Comment Period Expires: October 31, 2014
14-34 SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions; Effective Date: April 27, 2015*
14-33 FINRA Revises the Series 24 and 23 Examination Programs; Implementation Date: October 13, 2014
14-32 FINRA Amends FINRA Rule 9120 and the Definition of "Hearing Officer"; Implementation Date: August 12, 2014
14-31 SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information; Effective Date: July 30, 2014
14-30 SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses; Effective Date: July 11, 2014
14-29 FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information; Comment Period Expires: September 2, 2014
14-28 SEC Approves FINRA Rule Concerning Self-Trades; Effective Date: August 25, 2014
14-27 SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution; Effective Date: July 28, 2014
14-26 New Payments for Market Making Certification Requirement for FINRA Form 211; Effective Date: July 7, 2014
14-25 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
14-24 April 2014 Supplement to the Security Futures Risk Disclosure Statement; Implementation Date: June 23, 2014
14-23 FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain "Hybrid" Securities to FINRA; Effective Date: June 16, 2014
14-22 SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal; Provide an Exemption From the Filing Requirements for Certain Collective Investment Vehicles; and Clarify the Electronic Filing Requirement*
14-21 SEC Approves Amendments to Equity Trade Reporting and OATS Rules; Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015
14-20 FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online; Implementation Date: October 1, 2014
14-19 FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public; Comment Period Expires: June 16, 2014
14-18 FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program; Implementation Date: June 16, 2014
14-17 2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
14-16 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
14-15 FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules; Comment Period Expires: May 8, 2014*
14-14 FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules; Comment Period Expires: May 8, 2014*
14-13 Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4); Effective Date: April 2, 2014
14-12 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
14-11 SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR); Implementation Date: April 7, 2014
14-10 SEC Approves New Supervision Rules; Effective Date: December 1, 2014*
14-09 FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers; Comment Period Expires: April 28, 2014
14-08 SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That*
14-07 SEC Approves New Requirements for Alternative Trading Systems; Implementation Dates: May 12, 2014 (ATS Reporting Requirement); November 10, 2014 (MPID Requirement)
14-06 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
14-05 SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection — Permissible Use of Customers' Securities) and 4340 (Callable Securities); Effective Date: May 1, 2014 *
14-04 SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants; Effective Date: February 3, 2014
14-03 Proxy Rate Reimbursement and Enhanced Brokers' Internet Platforms Amendments to FINRA Rule 2251; Effective Date: January 1, 2014
14-02 FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market; Comment Period Expires: February 26, 2014
14-01 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 10, 2014