FINRA Proposes Rule Change to Short Sale Delivery Requirements

Summary

The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change to adopt NASD Rule 3210 on short sale delivery requirements, as modified by Amendment No. 1, and incorporate it into the Consolidated FINRA Rulebook as FINRA Rule 4320.

Original source language: Federal Register — SECOpen original release →

Add your company to Business Communicator

We monitor business sources and connect attention with companies, profiles and services available in Business Communicator.

Create a free company profile Explore businesses on Business Maps →

Create a free company profile →

Explore insights

Business insights →

Global Markets News Trade Regulation News Business Technology News Fintech for Business: Payments & Banking News Supply Chain News Central Bank Policy News

Related business signals

Market regulation · 8/21/2026

CFTC Proposes Amendments to Reduce Duplicative Regulation for Commodity Pool Operators and Trading Advisors

The Commodity Futures Trading Commission is proposing changes to its registration requirements for commodity pool operators and trading advisors to reduce overlapping regulation and account for inflation, including an exemption for certain investment advisers and small commodity pools.

Read summary →

Market regulation · 8/6/2026

CFTC Announces Public Comment Period for Renewal of Information Collection 3038-0092

The Commodity Futures Trading Commission is seeking public comment on the proposed extension of its information collection requirements for customer clearing documentation and timing of acceptance for clearing, as mandated by the Paperwork Reduction Act of 1995.

Read summary →

Market regulation · 7/21/2026

CFTC Sunsets Large Trader Reporting Requirements for Physical Commodity Swaps

The Commodity Futures Trading Commission is ending routine position-reporting requirements for large traders in physical commodity swaps, but preserving the authority to require special reporting on underlying books and records.

Read summary →

Market regulation · 7/1/2026

CFTC Proposes Revisions to Reporting Requirements for Fully Collateralized Event Contracts

The Commodity Futures Trading Commission is proposing changes to its regulations that would require certain market participants to report fully collateralized event contracts under a new framework, replacing the current reporting requirements for certain event contracts.

Read summary →

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.

Read summary →

Market regulation · 6/24/2026

CFTC and SEC Request Public Comment on Swap Data Reporting Changes

The Commodity Futures Trading Commission and the Securities and Exchange Commission are seeking public input on proposed modifications to the reporting requirements for swap and security-based swaps.

Read summary →