Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
SR-FINRA-2008-042 - Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to codify FINRA's interpretation of the portfolio margin program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g) regarding (1) monitoring concentrated equity positions and (2) timing of day trading margin calls.
GUIDANCE
Taping Rule
Effective Date: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule 3010
Taping Rule
Executive Summary
On May 5, 2005, the Securities and Exchange Commission approved amendments to paragraph (L) of Rule 3010(b)(2) (Taping Rule or
SR-FINRA-2008-037 - Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions)
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a FINRA policy to expand disseminated Transaction Reporting and Compliance Engine ("TRACE") data to show, for each
Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
<p>Applicability of the reporting requirement under Rule 3070(a)(8) to a non-securities related automobile insurance settlement exceeding $15,000.</p>
Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees)
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD Rule 6130 (Trade Report Input) to allow NASD members to use the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") to process transaction fees charged by one member to another member on trades in NMS stocks, as defined in Rule 600(b)(
