U.S. Equities

SEC Rule Amendment Requiring Certain Firms to Become FINRA Members

Amendment to Rule 1308, Supervision of Accounts, to Extend the Temporary Remote Inspection Relief Through June 30, 2024, for Members to Complete Their Branch Office Inspections

Updated Implementation Dates for Changes to Certain Risk Controls on MIAX Pearl Equities

Changes to Certain Risk Controls on MIAX Pearl Equities

Business Continuity and Disaster Recovery Plans Testing and Member Designation Standards

FINRA Proposal to Amend the Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations

FINRA Notice of Approval To Amend the Codes of Arbitration Procedure Governing the Arbitrator List-Selection Process and Procedural Rules

New Optional Functionality to Cancel Limit Orders not Establishing a New NBB or NBO