SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Proposed Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products)
Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1(b) of Schedule A to the FINRA By-Laws to exempt from the Trading Activity Fee (“TAF”) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.
GUIDANCE
Arbitration Time Limits
Effective Date: May 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Arbitration
Dispute Resolution
Eligibility of Arbitration Claims
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to Rule 10304 of the NASD Code of Arbitration
Procedure (Code) relating to time limits on
NASD has filed with the SEC a proposed rule change to amend NASD Rule 1022 to establish certain qualification requirements for supervisors of research analysts. More specifically, the proposed rule change would require supervisors of research analysts to pass the regulatory part (Series 87) of the Research Analyst Qualification Examination or the Series 16 Supervisory Analyst Examination
