SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules to conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2

(Release No. 34-79648; File No. SR-FINRA-2016-047)

Jan. 19, 2017 Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Jan. 19, 2017 Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA
Jan. 18, 2017 Mike Nicholas, CEO, Bond Dealers of America







Modified: 01/24/2017