FINRA Regulatory Notice 14-46 Request for Comment on Equity Trading Initiatives
FINRA requests comment on a proposal to identify OTC equity trades reported more than two seconds after execution as “Out of Sequence” and not last sale eligible for public dissemination purposes.
FINRA Regulatory Notice 14-47 FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
FINRA requests comment on a proposal to tighten business clock synchronization requirements. Comment Period Expires: Friday, January 9, 2015
FINRA Regulatory Notice 14-42 SEC Approves Amendments to the Arbitration Codes
The SEC has approved amendments to the Arbitration Codes to expand arbitrators’ authority to make referrals during an arbitration proceeding. Effective Date: October 27, 2014
FINRA Regulatory Notice 14-43 SEC Approves Supplemental Inventory Schedule
The SEC approved a Supplemental Inventory Schedule. The initial Supplemental Inventory Schedule disclosing inventory positions as of December 31, 2014 must be filed with FINRA on or before January 30, 2015.
FINRA Regulatory Element 14-44 BD and IA Renewals for 2015
The Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015 will begin November 10, 2014. FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Renewal Statements to FINRA by December 12, 2014, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2015. FINRA-registered firms will also be subject to a late fee if payment is not received by this deadline.
MSRB Regulatory Notice 2014-19 SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9
The SEC approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9. The rule changes will become effective on April 23, 2015, except for Rule G-44(d), which will become effective on April 23, 2016.
SEC Adopts Final Rule on Asset-Backed Securities Disclosure and Registration
The SEC has made a final rule decision on the adoption of Asset-Backed Securities Disclosure and Registration. Effective Date: November 24, 2014
FINRA Regulatory Notice 14-41 Fall 2014 FEA Release
The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Fall 2014 Firm Element Advisory (FEA). The Council produces the FEA to identify regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since the prior FEA are indicated in the document as such.
FINRA Regulatory Notice 14-37 Comprehensive Automated Risk Data System
FINRA requests comment on a rule proposal to implement the Comprehensive Automated Risk Data System.
FINRA Regulatory Notice 14-36 OTC Reporting Facility
FINRA announces elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data.
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