SR-FINRA-2009-022 - Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
Factors that may determine whether research personnel are required to be registered include their communications with customers, making of recommendations, accepting or executing orders for the purchase or sale of securities, and method of compensation.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt NASD Rule 2790 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) as FINRA Rule 5130 in the consolidated FINRA rulebook, with only minor changes.
SR-FINRA-2008-048 - Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
NASD members and associated persons who are required to use hypothetical illustrations under New York State's Regulation 60 with respect to internal and external replacements of life insurance and annuity contracts, would not be prevented under NASD Rule 2210 from using such illustrations. However, any use beyond what is required by Regulation 60 may require the illustrations to be filed with NASD Regulation as sales literature.
Proposed Rule Change to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
Comment Period Expires: October 31, 1997
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM)
SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
