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FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.

FINRA reminded member firms that they can vote for the vacant FINRA District Committee seats corresponding to their district and firm size.

The Investment Company Institute ("ICI") Board of Governors elected William F. "Ted" Truscott to serve as ICI Chair for a one-year term.

In a published consultation report, IOSCO made several recommendations to assist trading venues and regulatory authorities on the "implementation, operation and monitoring" of mechanisms...

MSRB named Mark T. Kim as its Deputy Executive Director and Chief Operating Officer.

The MSRB raised the annual fee charged to municipal advisor firms under MSRB Rule A-11 with respect to each person associated with a municipal advisor who is qualified as a municipal advisor representative.

In its annual Fact Book, the MSRB reported that trading of municipal securities went up substantially in 2018.

The MSRB released interpretive guidance regarding MSRB Rule G-47 (Time of Trade Disclosure) stating that a municipal security that bears a market discount...

MSRB reported the highest dollar volume of municipal securities transactions for any year since 2012.

The MSRB proposed a rule change that would increase the professional fee for municipal advisors. The assessment fee charged under MSRB Rule A-11 for each municipal advisor

MSRB reminded brokers, dealers and municipal securities dealers ("dealers") of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.

The MSRB requested comments on proposed new requirements that would (i) amend MSRB Rule G-21 applicable to municipal securities advertisements, in order to conform the MSRB's requirements...

The MSRB will implement a new examination requirement on November 12, 2019 for principals of municipal advisors.

The National Futures Association Board of Directors ("Board") reelected Goldman Sachs & Co. Managing Director Michael C. Dawley to a one-year term as NFA Chair.

The National Futures Association ("NFA") submitted a proposal to update the risk disclosure statement for security futures contracts that broker-dealers are required to provide to a customer prior to trading.

NFA reminded firms that the upcoming deadline for associated persons of swap dealers and intermediaries to satisfy the Swaps Proficiency Requirements is January 31, 2021.

Office of the Comptroller of the Currency ("OCC") Chief Counsel Amy Friend will retire from her position on November 11, 2017.

Non-U.S. broker-dealers conducting business with U.S. persons are subject to specific regulatory requirements. Our Topic Page on non-U.S. broker-dealers and Exchange Act Rule 15a-6 ("Exemption of Certain Foreign Brokers or Dealers") ...