Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
NASDR has filed with the SEC a proposed rule change to amend Rule 2330(f)(2) of the NASD in order to make it consistent with recent amendments by the SEC to Rule 205-3 of the Investment Advisers Act of 1940 ("Rule 205-3").
October 5, 2000NASD member firms receiving orders in Nasdaq securities during after-hours sessions are required to submit those orders to the Order Audit Trail System (OATS) per NASD Rules 6950-6957, as they would report any other order in Nasdaq securities. The only difference is that after-hours orders are considered as received on the following OATS Business Day and, therefore, are not
Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
NASDR has filed with the SEC a proposed rule change to Rule 2710 of NASD to exempt offerings of charitable organizations from the filing requirements of that rule.
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A of the NASD By-Laws to establish the examination fee for the new Research Analyst Qualification Examination (“Series 86/87”) program. The proposed rule change also sets forth a pass-through development fee for the Series 86 and Series 87 examinations, which is to be paid to the New York Stock Exchange (“NYSE”).
Shelf Offering Amendments
Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
