NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3010(b)(2), also known as the "Taping Rule," and NASD IM-8310-2. The proposed amendments to the Taping Rule generally would: (1) permit firms that become subject to the Taping Rule a one time opportunity to adjust their staffing levels to fall below the prescribed threshold levels and thus avoid
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material 3013 ("IM-3013") to clearly establish the timing with respect to the requirement to submit to the member's board of directors and audit committee a report that evidences certain processes that form the basis of a
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Introducing Broker-Dealer Financial and Operations (Series 28) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination
Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
Executive Summary
As members are aware, abusive communications between members and their associated persons with customers or associated persons of other members is considered conduct that is inconsistent with the requirement that members shall observe high standards of commercial honor and just and equitable principles of trade as contained in NASD's fundamental rule of ethical practice--
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
In November 2007, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory. The Council suggests that firms consult this guide in developing their Firm Element needs analysis.
FINRA’s training resource library includes a range of online offerings that address many of the topics that the Council has outlined in the Firm
Executive Summary
NASD Regulation, Inc., as part of its continuing efforts to provide additional locations for computerized delivery of Qualification Examinations and the Regulatory Element of the Continuing Education Program (CEP), has contracted with Sylvan Learning Systems, Inc. (Sylvan), for the management and operation of its test center network. The transition of the current NASD PROCTOR
Dispute Resolution Office Relocation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Dispute Resolution
Executive Summary
NASD Dispute Resolution announces the relocation of its New York headquarters office and Northeast Regional Office to:
One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006
Telephone: (212) 858-4400 Facsimile
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure ("Code") to provide payment to arbitrators for deciding discovery-related motions without a hearing.
