NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.
Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
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
Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
SR-FINRA-2009-029 - Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2009-027 - Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Supplemental Inventory Schedule (“SIS”) pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) so that members that are filers of FOCUS Report Part II will not be required to file the SIS. The proposed rule change does not
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
