Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
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Executive Summary
The Financial Services Authority (FSA) in the United Kingdom (U.K.) has detected an increase in the frequency with which National Association of Securities Dealers, Inc. (NASD®) member firms have been soliciting U.K. citizens. In response to this activity, the
Exemptive relief is denied based on the firm's failure to implement compliance procedures sufficient to educate its municipal finance professionals regarding the particular provisions of the Rule, or otherwise prevent the occurrence of the contributions.
February 12, 2002
The NASD Market Regulation staff urges firms transmitting order data to OATS via e-mail consider the option of downloading rejected data and resubmitting the file(s) via email. The NASD has established a new feature accessible via the OATS web site that will make the retrieval and resubmission of large volumes of rejected data easier and less time-consuming. On the OATS web
Summary of Exemption Decision Re: Rule 2710 Issued by Corporate Financing Department
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 amend NASD Interpretative Material 2210-4 ("IM-2110-4") to limit the use of FINRA's name and any other corporate name
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NASD Regulation, Inc. (NASD RegulationSM) is clarifying the application of the annual compliance meeting requirements of National Association of Securities Dealers, Inc. (NASD®) Rule 3010. Such meetings may be conducted by electronic means, provided certain
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 amend NASD Rules 1021 and 1031 to permit members to maintain the registrations of those persons whose association with such members is for bona fide business purposes, provided that such
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 amend NASD Rule 2210 (Communications with the Public) to create an exception to Rule 2210’s registered principal approval requirements for intermediary firms that use the sales material of
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 make technical amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the
