FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
SEC Approves New Rules Governing Communications With the Public
NASD is proposing to delay until November 26, 2007 the approved rule changes in SR-NASD-2005-146 that relate solely to the expansion of the scope of IM-2110-2 to OTC equity securities and the related deletion of Rule 6541. Certain other rule changes that were approved as part of SR-NASD-2005-146 will still become effective as scheduled on July 26, 2007.
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860(b)(23) (Tendering Procedures for Exercise of Options) to: (1) simplify the manner in which a Contrary Exercise Advice (“CEA”) is submitted; (2) extend by one hour the cut-off time by which members must submit CEA notices; (3) add procedures for exercising a standardized
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
Exchange Act Sections 3(a)(10), (12), (29) and (42)
FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710
NASD Rules 1021, 1022, 1031, 1032 and 1050
SEA Regulation NMS
Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
New Payments for Market Making Certification Requirement for FINRA Form 211
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to amend Rule 7010(k)(3)(A)(ii) to offer the ability to receive, for a reduced fee, a "snapshot" of real-time TRACE transaction data ("
Interim Pilot Program on Margin Requirements for Credit Default Swaps
