NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") regarding the release of disciplinary information to the public.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230 to reduce the period to report a transaction in a TRACE-eligible debt security from 75 minutes to 45 minutes. Rule 6230 is one of the Trade Reporting and Compliance Engine ("TRACE") rules.
FINRA's CRD Simultaneous Form Filing Program allows a "simultaneous filing group" or "SFG" (i.e., two or more FINRA member firms under substantially the same common ownership or control) to submit a single Form U4 (and single fingerprint card) or Form U5 to register or terminate an individual, respectively, with that SFG for a single processing fee. To obtain the benefits
NASD has filed with the SEC a proposal to extend until March 20, 2003, the effectiveness of the pilot program ("Pilot") amending NASD Rule 2520 ("Margin Requirements") to establish margin requirements for security futures contracts. The SEC approved the amendments on a pilot basis until March 6, 2003.
This rule filing was withdrawn and replaced by SR-NASD-2003-24.
NASD has filed with the SEC a proposed rule change to make technical changes to the NASD registration rules and to update its rules as part of its rule modernization initiative.
Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
The following test script should be completed by all FINRA member firms that will be submitting TRACE trade reports directly to FINRA. If your firm will be using a service bureau to report, or having your clearing firm report on your behalf, you must instead make sure that your service bureau/clearing firm has successfully completed the test. Firms performing the test should submit their
NASD has filed with the SEC a proposed rule change to replace Rule 3210 and Rule 11830 with a new rule requiring that clearing firms make delivery, or take affirmative steps to make delivery, within 10 business days after settlement date for all short sale transactions. In addition, clearing firms would be required to document and report certain information to NASD within one business day of
Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
