NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") regarding the release of disciplinary information to the public.
Maintaining Your Registration Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm’s policies to maintain your registration
The following test script should be completed by all FINRA member firms that will be submitting TRACE trade reports directly to FINRA. If your firm will be using a service bureau to report, or having your clearing firm report on your behalf, you must instead make sure that your service bureau/clearing firm has successfully completed the test. Firms performing the test should submit their
Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
This rule filing was withdrawn and replaced by SR-NASD-2003-24.
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.
Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
NASD has filed with the SEC ") a proposed rule change to amend Interpretive Material 3130 ("IM-3130") to change references to "paragraphs (b)(2) and (c)(2)" of Rules 3030 and 3031 to "paragraphs (c)(2) and (d)(2)" in IM-3130(a), (c), (d), and (e); and change references to "the Association" to "NASD" in IM-3130, thereby conforming the rule
Permission to Use FINRA-Copyrighted Material
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
This rule filing was withdrawn and replaced by SR-NASD-2003-19.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding suggested rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
