NASD has filed with the SEC a proposed rule change to amend NASD Rule 6260(a) and (b) to require members to provide additional, descriptive information in the notice that is sent to NASD and identifies the basic terms of a new TRACE-eligible security (“new issue notification”), and to provide the information required in Rule 6250(b) to NASD by email or facsimile. Rule 6260 is one of the Trade
Proposed Rule Change to Adopt FINRA Rule 3310 Anti-Money Laundering Compliance Program in the Consolidated FINRA Rulebook
NASD has filed with the SEC a proposed rule change to amend Rule 2520 ("Margin Requirements") to establish margin requirements for security futures contracts. The proposed rule change is being made to make NASD’s margin rule consistent with margin rules already adopted by the SEC, the Commodity Futures Trading Commission ("CFTC") and other self-regulatory organizations ("
FINRA Filing Requirements and Review of Regulation A Offerings
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
SR-FINRA-2008-044 - Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters
Guidance on Rules Governing Communications With the Public
This is a bad rule! There is already excessive limitations on individuals from investing in products and securities (such as the accredited investor limitations). More limitations are bad, and will decrease the opportunities for individual investors to make money in the markets.
This proposed rule is AGAINST the very mission of FINRA (which is to protect investors) because it prevents them from
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
Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
