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2018


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Contents:
18-34 SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities; Effective Date: April 1, 2019 [PDF]
18-33 SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences; Effective Date: October 29, 2018
18-32 FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
18-31 SEC Staff Issues Guidance on Third-Party Recordkeeping Services
18-30 Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
18-29 FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
18-28 FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA's Website; Comment Period Expires: November 12, 2018
18-27 Restructured Qualification Examinations and Related Examination Fees; Effective Date: October 1, 2018
18-26 FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education; Comment Period Expires: November 5, 2018
18-25 FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
18-24 Update to Security Futures Risk Disclosure Statement and Supplement; Implementation Date: September 5, 2018
18-23 FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process; Comment Period Expires: October 5, 2018
18-22 FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration; Comment Period Expires: September 24, 2018
18-21 SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration; Effective Date: September 17, 2018
18-20 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
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