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NASD has filed with the SEC a proposed rule change to make technical changes to the NASD registration rules and to update its rules as part of its rule modernization initiative.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2340 to eliminate outdated and unnecessary references to SEC Rule 15c3-1 under the Securities Exchange Act of 1934.
FINRA's CRD Simultaneous Form Filing Program allows a "simultaneous filing group" or "SFG" (i.e., two or more FINRA member firms under substantially the same common ownership or control) to submit a single Form U4 (and single fingerprint card) or Form U5 to register or terminate an individual, respectively, with that SFG for a single processing fee. To obtain the benefits
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6250(a)(4) to increase the number of TRACE-eligible securities to be disseminated under the rule from 90 securities to up to 120 securities.
The delivery of Continuing Education Regulatory Element and Qualifications Examinations is now available at the following remote sites on the dates specified
Alaska
Anchorage
March 19-21
June 11-13
California
Bakersfield
NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
