View a new monthly downloadable file of all short sales which were reported to the ADF. The format and data contained in these files is detailed in the Regulation SHO: Data Dissemination document.
NASD has filed with the SEC ") a proposed rule change to amend Interpretive Material 3130 ("IM-3130") to change references to "paragraphs (b)(2) and (c)(2)" of Rules 3030 and 3031 to "paragraphs (c)(2) and (d)(2)" in IM-3130(a), (c), (d), and (e); and change references to "the Association" to "NASD" in IM-3130, thereby conforming the rule
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Permission to Use FINRA-Copyrighted Material
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
This rule filing was withdrawn and replaced by SR-NASD-2003-19.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding suggested rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
The FINRA Disciplinary Actions Online system provides the general public with access to FINRA Disciplinary Actions ("Actions").
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3011 to require each member to provide to NASD contact information for the individual or individuals responsible for implementing and monitoring the day-to-day operations and internal controls of the member’s anti-money laundering ("AML") compliance program ("AML Program").
NASD has filed with the SEC a proposed rule change to: (1) amend Rule 6210(a) to clarify certain terms used in the definition, “TRACE-eligible security”; (2) amend NASD Rule 6230(e)(2) to expand the trade reporting exemption to qualifying transactions in any TRACE-eligible security that is listed and quoted on the Nasdaq Stock Market, Inc.(“Nasdaq”); and (3) make conforming amendments to the
NASD has filed with the SEC a proposed rule change to amend Schedule A to NASD By-Laws to amend its member regulatory pricing structure. Under the structure this rule proposal is intended to change, three types of fees and assessments are used to fund NASD's member regulatory activities: Regulatory Fee, Personnel Assessment, and Gross Income Assessment.
