FINRA Podcast: November 2013 Monthly Recap

FINRA released a podcast summarizing the latest FINRA notices, news and compliance resources for November 2013.See the links below for topics in the FINRA podcast that were previously covered in the Cabinet news.

See: FINRA Podcast: November 2013 Monthly Recap. Related news: FINRA Proposed Rule Change to Extend Tier Size Pilot of FINRA Rule 6433 (November 6, 2013); FINRA Regulatory Notice 13-39: SEC Approved Amendments to FINRA Rule 2360 and Rule 4210 Regarding OTC Options Cleared by OCC (November 7, 2013); FINRA Releases Enhanced Version of BrokerCheck (November 12, 2013); FINRA Proposes Rule Relating to OTC Equity Trade Reporting and OATS Reporting (November 12, 2013); FINRA Extends Current Rate of Fees (November 12, 2013); FINRA Proposes Rule Relating to TRACE Reporting and the Dissemination of Transactions in Asset-Backed Securities (November 13, 2013); FINRA Names Two New Heads of Member Regulation (with Lofchie Comment) (November 14, 2013); SEC Solicits Comments on Two Proposed Amendments to FINRA Rule 8312 (November 15, 2013); FINRA Regulatory Notice 13-40: SEC Approves Amendments to Discovery Guide Used in Arbitration Proceedings Regarding Electronic Discovery (November 15, 2013); FINRA Proposes Rule to Amend Uniform Branch Office Registration Form (Form BR) (November 25, 2013); SEC Approves FINRA Rule Proposals Regarding Securities Loans and Allocations of Securities Calls (with Lofchie Comment) (November 27, 2013).