11,473 results found

The SEC adopted final Exchange Act Rule 13q-1 and amended Form SD in order to require resource extraction issuers to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas and minerals in an interactive data format.

An SEC rule change intended to simplify or eliminate redundant, overlapping, outdated or superseded disclosure requirements was published in the Federal Register.

The SEC requested comments on an MSRB proposal to amend Rule A-4 requirements regarding the composition of a MSRB (the "Board") quorum.

The SEC requested comments on a FINRA proposal that would amend various FINRA rules to conform to an SEC-proposed amendment to Exchange Act Rule 15c6-1(a).

The SEC requested comments on FINRA proposal to eliminate fees for members who access historical trade data through the FINRA Automated Data Delivery System ("ADDS") website.

The SEC requested comments on a FINRA proposal to amend FINRA Rule 7730.

The SEC requested comment on the effectiveness of the framework governing the names of registered investment companies and business development companies.

FINRA announced the effective date of amendments to modify the dissemination protocols for agency debt securities.

FINRA reminded member firms that it will assess and collect a total of $8,309,000 to fund the annual budget of the Governmental Accounting Standards Board ("GASB"). FINRA will collect $2,077,250...

The SEC adopted new Rule 2273 that establishes an obligation on its members to deliver an educational communication in connection with member recruitment practices and account transfers.

FINRA provided guidance on the fundamental differences between exchange-traded funds ("ETFs") and mutual funds.

FINRA reminded member firms to review and respond to their Final Statements, which are now available in E-Bill form.

FINRA reminded member firms that, as of September 12, 2016, they will be subject to annual testing requirements and connectivity fees...

FINRA proposed changing Rule 7730 (Trade Reporting and Compliance Engine ("TRACE")) to reduce the delay period for its transaction-level data set offering from 18 months to 6 months.

FINRA proposed the implementation of "an anonymous, grouped masking methodology" in order to address confidentiality concerns regarding the publication of over-the-counter ("OTC") trading activity...

As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions...

FINRA proposed a rule change to amend FINRA Rule 6433 ("Minimum Quotation Size Requirements for OTC Equity Securities") to extend the Tier Size Pilot Program for OTC equity securities until June 9, 2017.

FINRA's Member Regulation Department will be conducting a review with respect to products linked to the Chicago Board Options Exchange Volatility Index ("VIX").