Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
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
Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to exclude independently-prepared research reports from the filing requirements of Rule 2210.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend certain NASD rules and repeal Rule 5100 and IM-5100 in light of the elimination of SEC Rule 10a-1 of the Act and the amendments to Regulation SHO under the Act.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make a technical amendment to new NASD Rule 2342 (SIPC Information). The proposed rule change serves to clarify the categories of members that are excepted from the scope of the rule.
Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
OverviewThe following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for
Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
