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2018


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Contents:
18-19 FINRA Amends Rule 3310 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
18-18 FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
18-17 FINRA Revises the Sanction Guidelines; Effective Date: June 1, 2018
18-16 FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them; Comment Period Expires: June 29, 2018
18-15 Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
18-14 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting; Comment Period Expires: June 25, 2018
18-13 FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111; Comment Period Expires: June 19, 2018
18-12 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
18-11 FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
18-10 FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule; Comment Period Expires: June 22, 2018.
18-09 FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA's Business Continuity/Disaster Recovery Testing
18-08 FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions; Comment Period Expires: April 27, 2018
18-07 Extension of Time Requests Relating to FINRA Rule 4210
18-06 FINRA Requests Comment on Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards; Comment Period Expires: April 9, 2018
18-05 FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly; Comment Period Expires: April 9, 2018
18-04 FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes Effective Date: November 15, 2018; Updates to Requestor and Exchange Codes are Effective Immediately
18-03 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
18-02 FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule; Comment Period Expires: March 8, 2018
18-01 Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 22, 2018