NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD's Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") and certain NASD rules to reflect NASD's direct authority for the activities related to or in support of trading in over-the-counter ("OTC")
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
SEC Approval and Effective Date for New Consolidated FINRA Rules
This rule filing was withdrawn and was replaced with SR-NASD-2004-116.
NASD has filed with the SEC a proposed rule change to align certain supervisory control and inspection requirements in NASD Rules 3010 and 3012 with the supervisory control and inspection requirements in New York Stock Exchange ("NYSE") Rules 342.19 and 342(a)(b)/03. The SEC approved these rules on June 17, 2004. In
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JULY 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The amendment would conform the NASD rule to that of the New York Stock Exchange.
The text of the proposed amendment is
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
FINRA Rule 5131 (New Issue Allocations and Distributions) addresses potential misconduct in the allocation and distribution of new issues.
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
