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Capital Markets › Rulemaking Process › Financial Industry Regulatory Authority (FINRA)

Mayer Brown Free Writings + Perspectives

FINRA Will Not Set an Effective Date for Amendments to TRACE Rules Establishing One-Minute Reporting Requirement; FINRA to Prepare...

Mayer Brown Free Writings + Perspectives on

On February 5, 2025, Robert Cook, President and Chief Executive Officer of the Financial Industry Regulatory Industry, Inc. (“FINRA”), announced that FINRA will not set an effective date for its recent amendments (the...more

Eversheds Sutherland (US) LLP

SEC approves FINRA rule 6500 series requiring securities lending reporting

Eversheds Sutherland (US) LLP on

On January 2, 2025, the Securities and Exchange Commission (the SEC) published an order approving a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt the new FINRA Rule 6500...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - October 2023 - 2

Davis Wright Tremaine LLP on

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - September 2023

Davis Wright Tremaine LLP on

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

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