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FINRA Board of Governors February Meeting: Rulemaking Items for Discussion
February 23, 2015
FINRA Board of Governors
Rulemaking Items for Discussion at the February 2015 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its February 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
The Board will consider proposed amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period for the release of Form U5 information through BrokerCheck.
Discretionary Accounts and Transactions
The Board will consider a revised proposal to adopt a consolidated FINRA rule regarding discretionary accounts and transactions.
Regulatory Element Continuing Education
The Board will consider a proposal to provide a cost-efficient Web-based method for completing the Regulatory Element of Continuing Education.
Sales of Securities on Military Installations
The Board will consider a proposed rule to govern offers and sales of securities on the premises of any military installation to members of the U.S. Armed Forces and their dependents, as required by the Exchange Act.
TRACE Transaction Reporting and Historic Data Sets
The Board will consider proposed amendments to TRACE Rules 6730 (Transaction Reporting) and 7730 (Trade Reporting and Compliance Engine) to clarify firms’ trade reporting obligations and to modify the historical data product offerings.