United States: FINRA Proposes Amendments To Filing Requirements For Quotations Of Non-Exchange-Listed Securities - Cadwalader, Wickersham & Taft LLP

Mondaq

07 Jun 2021 0 shares 1 views

Mondaq

Published 07 Jun 2021

FINRA proposed amendments to requirements under FINRA Rule 6432 ("Compliance with the Information Requirements of SEA Rule 15c2-11").

United States: Market Participants Consider FINRA TBA/CAT Margin Proposal - Cadwalader, Wickersham & Taft LLP

Mondaq 24 Jun 2021

In comments on FINRA's proposed amendments to rules governing margin on "To Be Announced" and other "Covered Agency Transactions",..

Mondaq 11 Jun 2021

FINRA proposed amendments to rules on continuing education and registration that would (i) require the regulatory element to be..