News from the economy, politics and the financial markets
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SR-FINRA-2026-013
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.
SR-FINRA-2026-012
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (1) amend FINRA Rule 4560 (Short-Interest Reporting) to increase the frequency and granularity of the short interest information collected and disseminated by FINRA, and (2) adopt FINRA Rule 4321 (Allocations of Fail to Deliver Positions) to require members to report to FINRA on a monthly basis their daily allocations of fail to deliver positions to correspondent firms.
SR-FINRA-2026-009
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (“TRACE”) to expand the scope of the non-member affiliate—principal transaction indicator to also include member affiliates.
SR-FINRA-2026-008
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (d) (Notice) of FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) to specify that FINRA will deliver electronically its requests for information and testimony to member firms through FINRA Gateway.
SR-FINRA-2026-007
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt specified collective trust funds (“CTFs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and Distributions).
SR-FINRA-2026-006
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6272 (Character of Quotations) to modify the operation of the Alternative Display Facility (“ADF”) in light of SEC Regulation NMS’s new requirements related to the dissemination of odd-lot quotation information.
SR-FINRA-2026-005
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 6380A and 6380B regarding the operation of the FINRA/Nasdaq Trade Reporting Facility Carteret, the FINRA/Nasdaq Trade Reporting Facility Chicago, and the FINRA/NYSE Trade Reporting Facility (the “Trade Reporting Facilities” or “TRFs”) to provide a limited, temporary exception from reporting specified overnight transactions prior to 8:00 a.m. Eastern Time (“E.T.”).
