The SEC requested comments on an MSRB proposal to provide academic institutions with post-trade municipal securities transaction data collected through the MSRB Real-Time Transaction Reporting System.

The SEC requested comments on an MSRB proposal to revise the content outline for the Municipal Advisor Representative Qualification Examination ("Series 50").

The SEC requested comments on a proposal to shorten the standard settlement cycle for most broker-dealer securities transactions.

The SEC requested comments on proposed amendments to SEA Rule 15c2-12.

The SEC solicited comments on a FINRA proposal to revise its consolidated rulebook. The revisions update certain cross-references and make other "non-substantive changes."

The economists also found that greater availability of information led to a reduction in the bid-offer spread.

The Federal Reserve Board ("FRB") finalized the process of transferring its rulemaking authority for the Secure and Fair Enforcement for Mortgage Licensing Act ...

FinCEN named Thomas Ott the new Associate Director of the Enforcement Division. Mr. Ott will oversee FinCEN's Bank Secrecy Act compliance and enforcement program.

Three governors were elected to the FINRA board.

FINRA noted that only participants who applied for an accommodation would be eligible to complete their CE Regulatory Element session at a test center. The proposed rule would be effective immediately.

The tick size pilot program, which becomes effective October 3, 2016, requires firms to use the existing Intermarket Sweep Order trade reporting modifier when reporting trades to a FINRA facility...

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 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 ...