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You are viewing Updates in FINRA Manual
Showing results 1 to 8 of 8
1 - 6433. Minimum Quotation Size Requirements For OTC Equity Securities ( 8 December 2017)
FINRA Rules  >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES  >> 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES  >> 6430. OTC Equity Quotation Requirements 
2 - 203. Engaging in Distribution and Solicitation Activities with Government Entities ( 6 December 2017)
Capital Acquisition Broker Rules  >> 200. DUTIES AND CONFLICTS 
3 - 458. Books and Records Requirements for Government Distribution and Solicitation Activities ( 6 December 2017)
Capital Acquisition Broker Rules  >> 400. FINANCIAL AND OPERATIONAL RULES 
4 - 17-43 Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts ( 6 December 2017)
Notices  >> 2017 
5 - 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] ( 6 December 2017)
Notices  >> 2017 
6 - 6898. Consolidated Audit Trail—Fee Dispute Resolution ( 1 December 2017)
FINRA Rules  >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES  >> 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE  
7 - 17-41 FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule; Comment Period Expires: January 29, 2018 (28 November 2017)
Notices  >> 2017 
8 - Second Amended and Restated Limited Liability Company Agreement of the FINRA/NASDAQ Trade Reporting Facility LLC (21 November 2017)
Corporate Organization  >> TRF LLC Agreements 
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