Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities on a more frequent basis.
Summary
FINRA is issuing this Notice to inform members that it is discontinuing collection of data under Rule 4540. The data collected under Rule 4540 is used in the Integrated National Surveillance and Information Technology Enhancements program (INSITE). The decision to discontinue the collection of data under Rule 4540 at this time is based on the availability of alternative sources of data
INFORMATIONAL
Minor Violations Of Rules And Late Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Minor Rule Violation Plan
Schedule A of the NASD By-Laws
Executive Summary
On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
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This rule filing was withdrawn and was replaced with SR-NASD-2004-016
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
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 6200 Series regarding Trade Reporting And Compliance Engine (TRACE).
Extension of Time Requests Relating to FINRA Rule 4210
NASD Regulation, Inc., has filed with the SEC a proposed rule change to establish NASD Rule 2711 to address research analyst conflicts of interest.
Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
