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.
Exemptive relief is denied due to a failure of the firm to develop and institute procedures reasonably designed to ensure compliance with Rule G-37.
Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6620 to codify existing guidance regarding members' trade reporting obligations with respect to foreign equity securities.
NASD Rule 2211 - Institutional Sales Material and Correspondence</p>Free writing prospectuses are not subject to Rules 2210 and 2211 or the filing requirements of Rules 2710 and 2720
NASDR has filed with the SEC a proposed rule change to NASD Rule 1015, which eliminates procedures for members of the National Adjudicatory Council to call for review membership decisions until June 1, 1999.
Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility
GUIDANCEDeletion of Obsolete RulesEffective Date: August 10, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementObsolete RulesRule 3400 SeriesExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of an amendment to delete as obsolete IM-2210-4(b) (Certification of Membership) and Rule
