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)(
Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
In most cases, you must start taking required minimum distributions (RMDs) from your retirement accounts each year once you reach age 73. IRS rules require that you take withdrawals from individual retirement accounts (IRAs) and employer-sponsored retirement plans to avoid costly penalties. Be sure you understand the requirements about RMD.
SR-FINRA-2007-024 - Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
SEC Approves Consolidated FINRA Rules Governing Books and Records
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend an exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for certain research analysts employed by a member's
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) regarding a
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change proposing to amend NASD Rule 4632C (Transaction Reporting) and NASD Rule 4632D (Transaction Reporting) to reflect "as/of" (T+1) trade reporting and the automated reporting of trade cancellations to the NASD/NSX Trade Reporting Facility (the "NASD/NSX TRF
Effective December 31, 2007, new NASD Rule 1160 (Contact Information Requirements) streamlines the review and verification of contact information and eliminates the requirement that member firms review and update certain designated contact information on a quarterly basis. The new rule requires firms to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information.
