NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on December 28, 2002. NASD is proposing to extend the pilot program for TRACE fees to February 28, 2003 and to modify the pilot effective January 1, 2003. As a result of the proposed
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 10314(a) to provide that, in certain circumstances, parties must complete part of the arbitration claim filing process through the Internet and that, in all circumstances, parties may complete part of the claim filing process through the Internet.
This rule filing was withdrawn and was replaced with SR-NASD-2004-016
Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1 ) NASD Rule 6210(a), the definition of "TRACE-eligible security," by (A) deleting the requirement that a debt security be registered under the Securities Act of 1933 ("Securities Act"), thus including debt securities that are
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 6200 Series regarding Trade Reporting And Compliance Engine (TRACE).
NASD Regulation, Inc., has filed with the SEC a proposed rule change to establish NASD Rule 2711 to address research analyst conflicts of interest.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) to reduce certain fees that are currently in effect for the Trade Reporting and Compliance Engine (TRACE). In addition, NASD is proposing revisions to Rule 7010(k) that are technical in nature to reflect NASD’s change in corporate name. For example, references to "the Association" have been replaced with
