NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule to establish new NASD Rule 2290 to address disclosures and procedures concerning the issuance of fairness opinions.
NASD is filing with the Securities and Exchange Commission (''SEC'' or ''Commission'') a proposed rule change to extend the hours of operation of (1) the Trade Reporting Facility established by NASD and the Nasdaq Stock Market, Inc. (the ''NASD/Nasdaq TRF''); (2) the trade reporting of non-Nasdaq exchange-listed securities under the Rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt new Rule 3160 to require (1) all clearing firm members for which NASD is the designated examining authority ("DEA") pursuant to Rule 17d-1 under the Act to submit to NASD requests for extensions of time for payment, under Regulation T
NASD has filed with the SEC a proposed rule change to NASD Rule 2860(b)(3)(A) to amend the options position and exercise limits for positions entered into under certain enumerated hedge strategies.
Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets Held at a Financial Institution)
