This proposed rule would deal yet another blow to the free market. Everyday Americans should be able to buy and sell securities as they please. Regulations like day trade restrictions, the banning of the creation of 3X leveraged ETF funds, and now this proposed rule continually erode away free market principles at the expense of the average American. Institutional investors have access to low
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
FINRA’s Board of Governors met on March 9 and 10, and it approved a proposal to shorten the securities settlement cycle from two business days after the trade date (T+2) to one (T+1) and approved the allocation of 2022 fine monies to various capital initiatives.
SEC Approves Consolidated FINRA Best Execution Rule
This rule filing was withdrawn and was replaced with SR-NASD-2004-116.
NASD has filed with the SEC a proposed rule change to align certain supervisory control and inspection requirements in NASD Rules 3010 and 3012 with the supervisory control and inspection requirements in New York Stock Exchange ("NYSE") Rules 342.19 and 342(a)(b)/03. The SEC approved these rules on June 17, 2004. In
NASDR has filed with the SEC a proposed rule change to amend NASD Books and Records Rule 3110 and NASD Order Audit Trail System Rules 6954 and 6957 to (1) require members to record certain information when an order is transmitted to a non-member; (2) explicitly detail the record- keeping requirements that will apply to OATS data; (3) require members to record and maintain information related to
Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
