FINRA proposed amending its rules to require members to disclose markups on retail customer confirmations for transactions in fixed income securities.

The Federal Reserve Bank of New York named Michael Held executive vice president, head of the Legal Group and general counsel.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC Notices of exchange rule changes and proposals for the week of August 8 - August 12.

The NFA will amend its compliance rules and interpretive notices to reflect changes to FinCEN's final rules relating to customer due diligence requirements for certain financial institutions.

FINRA announced the effective dates of recently approved rules establishing margin requirements for "to-be-announced" transactions and other forward-settling agency securities transactions.