U.S. Equities

Thornburg International Equity ETF-TXUG

Changes to Expand Trading Hours by Adopting Early and Late Trading Sessions

Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Changes to the Arbitrator List Selection Process

Proposed Rule Change to Amend the Codes of Arbitration Procedure to Add New FINRA Rules 12808 and 13808 (Accelerated Processing) for Qualified Parties

Market Wide Circuit Breaker Testing
Member Designation Standards

Business Continuity and Disaster Recovery Plans Testing
Member Designation Standards

Approved Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing

Approved Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of Document Production Lists