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FINRA proposed to amend Rule 6433 to extend the amendments set forth in the Tier Size Pilot until December 9, 2016.

FINRA issued guidance to remind firms of their obligation to report short positions by individual firm or customer account on a gross basis.

In its January disciplinary report, FINRA recapped actions.

In its November disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

In its October disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules,

In a Regulatory Notice, FINRA reminded firms that after April 12, 2019, alternative trading systems ("ATSs") and broker-dealers that subscribe to ATSs will be required to report to TRACE.

FINRA reminded member firms of the upcoming candidate nominations and elections process to fill new vacancies on its District Committees.

FINRA announced that it is publishing monthly information on block-sized trades effected on alternative trading systems ("ATS") available on its website.

FINRA updated its Transparency Services Participant Agreement ("FPA"). Starting on April 10, 2017, FINRA firms will be required to use the FINRA Firm Gateway to access, complete and submit their FPAs.

A securities firm agreed to settle FINRA charges for failure to (i) accurately report municipal security transactions to the Real-Time Transaction Reporting System ...

On Friday, January 10, Practising Law Institute will be hosting a "Free Friday" during which the briefing "Wisdom of Crowds: A Review of the Proposed Crowdfunding Regulatory Framework" will be accessible to everyone for free.

The guide serves as a useful reference regarding the registration requirements for funding portals, and the rules applicable to registered broker-dealers and funding portals that are participating as crowdfunding intermediaries.

January 18, 2017, the SEC announced that General Counsel Anne K. Small will leave the agency later this month.

BlackRock Inc. agreed to pay a $340,000 penalty to settle SEC charges alleging violations of the whistleblower provisions of the Dodd-Frank Act by entering into separation agreements that required employees to waive the ability to obtain whistleblower awards.

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments.

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.

The Division of Investment Management of the SEC recently issued Guidance on the Exemption for Advisers to Venture Capital Funds under five different scenarios.

The House of Representatives voted 236-178 to approve the Accelerating Access to Capital Act of 2015 (H.R. 2357).