NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3360 to expand the short interest reporting requirements to over-the-counter ("OTC") equity securities.
Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of this Rule) to provide eligible individuals another opportunity to elect to participate in the
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.
NASD has filed with the SEC a proposed rule change to establish NASD Rule 1043, a new registration category for proctors of in-firm delivery of the Regulatory Element of NASD’s continuing education requirements.
Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2008-048 - Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000
