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FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information)
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2018

On November 28, the Financial Industry Regulatory Authority filed a proposed change to Rule 4512(a)(3) (Customer Account Information) with the


FINRA Reminds Members of Obligations Related to OTC Securities Quoted by a Filed Form 211
  • Katten Muchin Rosenman LLP
  • USA
  • September 28 2018

On September 24, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice (Notice) reminding firms of their applicable


SEC Releases Statement on Expiration of Tick Size Pilot
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2018

On September 10, the Securities and Exchange Commission announced the early expiration of its Tick Size Pilot Program. Under the program, the minimum


Amended FINRA Registration Rules To Take Effect October 1
  • Katten Muchin Rosenman LLP
  • USA
  • September 7 2018

Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1. The


FINRA Publishes Regulatory Notice Regarding ATS Supervision Obligations
  • Katten Muchin Rosenman LLP
  • USA
  • August 17 2018

On August 13, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 18-25 to remind Alternative Trading Systems (ATS) to


FINRA Seeks Comment on Proposed Amendments to the Membership Application Program Rules
  • Katten Muchin Rosenman LLP
  • USA
  • August 3 2018

On July 26, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice requesting comment on a proposal to the NASD Rule 1010


NYSE Proposes to Amend Rule Requiring Registered Broker-Dealers to be Members of FINRA or Another Exchange
  • Katten Muchin Rosenman LLP
  • USA
  • July 27 2018

On July 12, the New York Stock Exchange (NYSE) proposed an amendment to NYSE Rule 2, which requires that an NYSE member also be a member of the


FINRA Amends Rules to Provide an Option for Simplified Arbitration
  • Katten Muchin Rosenman LLP
  • USA
  • July 27 2018

On July 23, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 18-21, which summarizes recent amendments to the Code of


FINRA Proposes Rule Change Regarding ATS Reporting of Transactions to TRACE
  • Katten Muchin Rosenman LLP
  • USA
  • June 8 2018

The Financial Industry Regulatory Authority recently filed a proposed rule change with the Securities and Exchange Commission to amend FINRA Rule 6730


FINRA Proposes Rule Change to FINRA Regulation, Inc. District Committee Structure and Governance
  • Katten Muchin Rosenman LLP
  • USA
  • May 25 2018

On May 18, the Financial Industry Regulatory Authority (FINRA) filed a rule change with the Securities and Exchange Commission to amend the by-laws of