SR-FINRA-2009-005 - Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
NASD has filed with the SEC a proposed rule change to amend: (1) Rule 6250 to provide for the dissemination of transaction information on additional Investment Grade TRACE-eligible securities under the Rule 6200 Series (also known as the Trade Reporting and Compliance Engine ("TRACE") Rules); (2) Rule 6230 and Rule 9610(a) to provide NASD staff the authority to grant exemptive relief
Proposed Rule Change to Adopt FINRA Rules 2130 (Approval Procedures for Day-Trading Accounts) and 2270 (Day-Trading Risk Disclosure Statement) in the Consolidated FINRA Rulebook
SR-FINRA-2009-018 - Proposed Rule Change to Adopt FINRA Rule 2342 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
SR-FINRA-2009-002 - Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
The NASD, through its wholly-owned subsidiary NASD Regulation, Inc., is filing with the SEC proposed rule changes to Rules 2710 and 2830 of the Conduct Rules of the Association.
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
The Joint NASD/Industry Task Force urges mutual funds to include these definitions in their prospectuses and other relevant materials as soon as is reasonably practicable.
SR-FINRA-2008-056 - Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
SR-FINRA-2009-001 - Proposed Rule Change to Amend FINRA Rule 7470
