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2017


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Contents:
17-43 Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
17-42 FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information Comment Period Expires: February 5, 2018 [PDF]
17-41 FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule; Comment Period Expires: January 29, 2018
17-40 FINRA Provides Guidance to Firms Regarding AntiMoney Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN's Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions Effective Date: *
17-39 SEC Approves the CAT Fee Dispute Resolution Process Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
17-38 FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria Comment Period Expires: January 12, 2018
17-37 SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs) Effective Date: December 6, 2017
17-36 SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File Effective Date: February 1, 2018
17-35 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 2017
17-34 FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration Effective Date: October 18, 2017
17-33 Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017
17-32 FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products Effective Date: October 16, 2017
17-31 FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format Implementation Date: October 5, 2017
17-30 SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements Effective Date: October 1, 2018
17-29 SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator Effective Date: October 9, 2017
17-28 FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions: New Effective Date: June 25, 2018
17-27 Guidance to Members Affected by Hurricane Harvey
17-26 FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
17-25 SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection; Effective Date: September 18, 2017
17-24 FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
17-23 SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets; Effective Date: October 2, 2017
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