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FINRA Eliminates the Order Audit Trail System (OATS) Rules
June 22nd | 2021 FINRA recently announced September 1, 2021 as the effective date for the elimination of the Order…
June 22, 2021
SEC Approves FINRA Changes to Rule 5122 and FINRA Rule 5123
June 15th | 2021 On June 9, 2021, the SEC approved FINRA’s proposal to amend FINRA Rule 5122 ("Private Placements…
June 14, 2021
FINRA Requests Comment on Short Interest Position Reporting Enhancements
June 9th | 2021FINRA is requesting comment on potential enhancements to its short sale reporting program. Pursuant to FINRA Rule…
June 9, 2021
Consolidated Audit Proposed Funding Model
May 26th | 2021 The comment period on a revised funding model (“Proposed Funding Model”) for the consolidated audit trail…
May 26, 2021
NFA Compliance Rules 2-9 and 2-36: Members' Use of Third-Party Service Providers
May 26th | 2021 On March 24, 2021, the National Futures Association (“NFA”) provided Notice to Members requiring each Member…
May 26, 2021
CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
May 26th | 2021 The CFTC recently updated its FAQs regarding CFTC Regulation 4.27 and Form CPO-PQR. There are no…
May 26, 2021