Calendar of Events

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New Payments for Market Making Certification Requirement for FINRA Form 211

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2 events,

SEC Approves Amendments to FINRA Rule 2210

SIFMA Statement on ‘Cybersecurity Information Sharing Act’

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1 event,

SIFMA Publishes Recommendations for Enhancing Fairness, Stability and Transparency in US Equity Markets

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1 event,

Financial Industry: Cybersecurity is a Top Priority for Protecting Customers

1 event,

FINRA Announces Arbitration Task Force

1 event,

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2 events,

MSRB Files Rule Change with SEC for Continuing Education Requirements for Municipal Securities Dealers

4 events,

MSRB Releases Revised Draft Rule G-42 and Board Meeting Discussion Items

SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungements

SIFMA Statement on SEC Money Market Fund Reform

SEC Adopts Money Market Fund Reform Rules

2 events,

MSRB Seeks Approval to Implement Supervision Rule for Municipal Advisors

3 events,

Outside Business Activity Review (NASD Rule 3050)

MSRB to Make Kroll Bond Ratings Available to the Public through its EMMA Website

SIFMA Submits Comments to the Securities and Exchange Commission on FINRA’s Arbitrator Definition

0 events,

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2 events,

MSRB Creates Online Education Center to House Digital Resources about the Municipal Market

SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution

2 events,

SIFMA Consolidated Audit Trail Bidder Summit

MSRB – Education and Outreach Seminar in Chicago, IL

1 event,

SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information

1 event,

SIFMA Announces Cybersecurity Resources for Small Firms

2 events,

SIFMA and Other Associations Submit Comments to the Securities and Exchange Commission on Structure of MCDC

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council

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