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Market regulation · 23/09/2024Updated: 10/16/2026 · 1 min read

FINRA Proposes Rule Change to Update Form U4 and Obligation to Provide List of Restricted Securities

Summary

The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change to amend Form U4 and FINRA Rule 3110.19(d) to require firms to provide a list of restricted securities (RSLs) to FINRA.

Original source language: Federal Register — SECOpen original release →

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Market regulation · 6/25/2026

OCC, Federal Agencies Publish Final Joint Rule for Financial Data Transparency Act

The Office of the Comptroller of the Currency (OCC), the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Consumer Financial Protection Bureau (CFPB), the Federal Housing Finance Agency (FHFA), the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), and the U.S. Department of the Treasury are publishing a final joint rule to establish data standards to promote interoperability of financial regulatory data across these agencies. This joint rule will be considered for potential incorporation into data standards for certain collections of information in separate rulemakings by the agencies or through other actions taken by the agencies.

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