A broker-dealer settled FINRA charges for failing to comply with short sale regulations related to close-outs of "fail-to-deliver" positions.
News & Insights
FINRA proposed extending the effective date of a rule change that would clarify the operation of the Regulation NMS Plan to Address Extraordinary Volatility following a trading pause or regulatory halt in an NMS security.
The SEC requested comment on a FINRA proposal to delay the effective date of a rule change that would clarify the operation of its "Regulation NMS Plan to Address Extraordinary Volatility" following a trading pause or regulatory halt in an NMS security.
The SEC requested comments on FINRA's amendments to rules clarifying the operation of the "Regulation NMS Plan to Address Extraordinary Volatility" after a trading pause or regulatory halt in a security.
FINRA adopted amendments to rules clarifying the operation of the "Regulation NMS Plan to Address Extraordinary Volatility" following a trading pause or regulatory halt in a security subject to the Plan.