Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Amendments to NASD's Minor Rule Violation Plan
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to reduce fees for the Regulatory Element of the continuing education requirements of Rule 1120.
Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"
Proposed Rule Change to Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust one of the thresholds required to qualify for the Media/Contra fee cap under FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees).
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
NASD has filed with the SEC a proposed rule change to adopt NASD Rule 2370 to govern lending arrangements between registered persons and customers. SR-NASD-2003-92 replaces, in its entirety, File No. SR-NASD-2003-90.
Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
