Trading pauses were adopted on a pilot basis following the flash crash. See the discussion in the Broker-Dealer Guide, Trading Chapter, Section VII. View release in full here(links externally to FINRA website).

The margin requirements for Credit Default Swaps are summarized in The Guide to Broker-Dealer Regulation, Margin Chapter . This proposal would extend the current regime under FINRA Rule 4240 (although that is of limited significance as firms do not ordinarily book CDS into registered broker-dealers and this will all eventually be redone when the SEC's rules implementing Dodd-Frank come into effect. *Please note this release relates back to an earlier post, found here. View notice in full here(links externally to Federal Register website).

BYX amended its telemarketing rules to conform to FTC requirements and essentially to conform to federal law. This rule change will not be relevant to firms that are already FINRA members subject to its telemarketing rules. Telemarketing requirements are discussed in theBroker-Dealer Guide, Communications Chapter, Section VI. View release in full here (links externally to SEC website).

View release in full here (links externally to SEC website).

View release in full here (links externally to SEC website).