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2017


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Contents:
17-22 FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings; Effective Date: December 15, 2016
17-21 FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online; Implementation Date for changes relating to DOL Fiduciary Rule: June 9, 2017;
17-20 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions; Comment Period Expires: June 29, 2017
17-19 SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2); Effective Date: September 5, 2017
17-18 Guidance on Social Networking Websites and Business Communications
17-17 FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
17-16 FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary; Comment Period Expires: May 30, 2017*
17-15 FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule; Comment Period Expires: May 30, 2017*
17-14 FINRA Requests Comment on FINRA Rules Impacting Capital Formation; Comment Period Expires: May 30, 2017*
17-13 FINRA's NAC Revises the Sanction Guidelines; Effective Immediately
17-12 Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
17-11 SEC Approves Rules Relating to Financial Exploitation of Seniors
17-10 2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
17-09 The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan; Effective Date: March 15, 2017
17-08 SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds; Effective Date: May 14, 2018
17-07 Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
17-06 FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public; Comment Period Expires: March 27, 2017
17-05 FINRA and ISG Update Certain Electronic Blue Sheet Data Elements; Effective Date: February 6, 2017
17-04 SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration; Effective Date: January 9, 2017
17-03 SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal; Effective Date: April 3, 2017
17-02 SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss; Effective Date: January 23, 2017
17-01 Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 20, 2017