Rules & Regulation

What's New

8.14.08 Trade Reporting Notice Trade Reporting Frequently Asked Questions

8.6.08 Regulatory Notice Technology Changes for Reporting Certain Complaint and Disclosure Information

7.28.08 Trade Reporting Notice FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008

7.28.08 Regulatory Notice FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products

7.23.08 Regulatory Notice FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling

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Other Regulatory Agencies

SEC Rule 605 (Formerly Rule 11Ac1-5) Disclosure of SEC-required order execution information.

FINRA Participation in NMS Plans