United States: FINRA Proposes Pilot Period Extension In Connection With Market-Wide Circuit Breakers In NMS Stocks - Cadwalader, Wickersham & Taft LLP

Mondaq

15 Oct 2020 0 shares 1 views

Mondaq

Published 15 Oct 2020

FINRA proposed extending the pilot period under FINRA Rule 6121.02 until October 18, 2021.

United States: FINRA Proposes Further Extension Of Pilot Program On "Clearly Erroneous Transactions" - Cadwalader, Wickersham & Taft LLP

FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities.

Mondaq 22 Oct 2020

FINRA proposed amendments to FINRA Rule 2165 ("Financial Exploitation of Specified Adults") that would permit a broker-dealer to..

Mondaq 12 Oct 2020