FINRA proposed the adoption of Funding Portal Rules 100, 110, 200, 300, 800, 900 and 1200 (collectively, the "Funding Portal Rules") and related forms. The new rules were promulgated pursuant to the 2012 JOBS Act which "prohibits funding portals from a variety of activities, including offering investment advice or recommendations, soliciting transactions for securities displayed on their websites, compensating employees for securities solicitations, and holding investor funds or securities." As part of its plan, FINRA also proposed the adoption of new FINRA Rule 4518 ("Notification to FINRA in

FINRA requested comments on the revised version of a proposed rule that would require member firms to disclose additional information about customer confirmations for transactions in corporate and agency debt securities. FINRA specified that it made changes to the proposal in response to comments received concerning FINRA Regulatory Notice 14-52. The changes include: replacing the "qualifying size" threshold with a retail customer account standard; permitting firms to use alternative methodologies for calculating the reference price for more complex trade scenarios; in the event of a material

The National Futures Association ("NFA") updated its Self-Examination Questionnaire. The new questionnaire focuses on a firm's regulatory responsibilities and solicits information concerning whether the firm's internal procedures are adequate for meeting those responsibilities. The questionnaire is used by future commission merchants, introducing brokers, commodity pool operators, commodity trading advisors and forex dealer members. It satisfies a required annual supervisory review pursuant to NFA Compliance Rules 2-9("Supervision"), 2-36 ("Requirements for Forex Transactions") and 2-39 (

FINRA proposed the adoption of Funding Portal Rules 100, 110, 200, 300, 800, 900 and 1200 (collectively, the "Funding Portal Rules") and related forms. The new rules were promulgated pursuant to the 2012 JOBS Act which "prohibits funding portals from a variety of activities, including offering investment advice or recommendations, soliciting transactions for securities displayed on their websites, compensating employees for securities solicitations, and holding investor funds or securities." As part of its plan, FINRA also proposed the adoption of new FINRA Rule 4518 ("Notification to FINRA in

FINRA requested comments on the revised version of a proposed rule that would require member firms to disclose additional information about customer confirmations for transactions in corporate and agency debt securities. FINRA specified that it made changes to the proposal in response to comments received concerning FINRA Regulatory Notice 14-52. The changes include: replacing the "qualifying size" threshold with a retail customer account standard; permitting firms to use alternative methodologies for calculating the reference price for more complex trade scenarios; in the event of a material