NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a direct participation
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31, 2024, and conducted the mediation by December 31, 2024.The SavingsFINRA participating mediators will offer the following rates for mediation sessions
NASDR has filed with the SEC a proposed rule change to amend NASD Rule 3370 to permit the use of a "Hard to Borrow" list to comply with the affirmative determination requirement for short sales.
NASDR has filed with the SEC a proposed rule change to create Rule 2790, Trading in Hot Equity Offerings, to replace the Free-Riding and Withholding Interpretation, IM-2110-1. In addition, there are a number of technical amendments to other NASD rules that refer to IM-2110-1.
NASDR has filed with the SEC a proposed rule change to Interpretive Memorandum 2830-1 of the NASD regarding mutual fund breakpoint sales to clarify its application to modern portfolio investment strategies.
