The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more
4/9/2013
- CFTC Clearing Agencies Filing Requirements Registration SEC
The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Among other things, amended Rule 8313 would...more
4/2/2013
- Disciplinary Proceedings FINRA Public Disclosure SEC
In 2010, NASDAQ OMX PHLX LLC (PHLX) launched NASDAQ OMX PSX (PSX) as a platform for trading NMS stocks using a price/size execution model. Now PHLX has filed a proposed rule change to adopt a price/time model for PSX. PHLX is...more
4/2/2013
- Nasdaq PHLX PSX SEC
On July 1, 2011, the Securities and Exchange Commission granted temporary exemptions under the Securities Exchange Act of 1934 in connection with the pending revision of the definition of “security” to encompass...more
4/2/2013
- FINRA SEC Security-Based Swaps
The Securities and Exchange Commission has approved a Financial Industry Regulatory Authority proposed change to amend FINRA Rule 4240, which implements an interim pilot program with respect to margin requirements related to...more
4/2/2013
- Credit Default Swaps FINRA Margin Requirements SEC
The Securities and Exchange Commission approved a rule change by the Financial Industry Regulatory Authority pursuant to which National Association of Securities Dealers (NASD) Rules 2210 and 2211 and NASD Interpretive...more
1/14/2013
- FINRA Public Communications SEC
