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The proposed rule change also makes corresponding changes intended to improve the discovery process.

FINRA filed a rule change that would waive Trade Reporting and Compliance Engine ("TRACE") fees assessed initially for member firms as the result of the required re-reporting of certain transactions...

FINRA issued a notice providing members with guidance on customer communications with respect to departing registered representatives.

FINRA provided guidance to help firms review and reconcile their 2020 final statements made available in E-Bill.

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

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

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

FINRA released, for the first time, aggregate data on the trading volume of Treasury securities reported to the Trade Reporting and Compliance Engine ("TRACE").

FINRA notified firms that their Final Statements are available for review in the E-Bill system.

FINRA reminded broker-dealers that provide quotations in the securities of a foreign private issuer to make available specified information upon request to any person that expresses an interest

FINRA reminded member firms to register with FINRA CAT, LLC for Consolidated Audit Trail ("CAT") reporting by June 27, 2019.

FINRA reminded market participants that it will no longer support the Computer-to-Computer Interface ("CTCI") as a reporting method for TRACE and Over-the-Counter Reporting (or "ORF") products.

FINRA reminded members firms that ballots are due on November 20, 2019 for (i) filling the New York Region representative position on the Small Firm Advisory

As part of its retrospective rule review, FINRA requested comments on the "effectiveness and efficiency" of a rule regarding business continuity plans and emergency contact information.

FINRA will consolidate its Examination and Risk Monitoring Programs into a unified program to promote oversight and consistency ...