INFORMATIONAL
Registration Requirements
Effective Date: September 17, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Limited Principal—Financial and Operations
Limited Principal—Introducing Broker/Dealer Financial and Operations
Executive Summary
On May 21, 2001, the Securities and Exchange
GUIDANCE
Net Trading Requirements
Effective Date: October 2, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Net Trading
Rule 2441
Executive Summary
On June 30, 2006, the Securities and Exchange Commission (SEC)
approved new NASD Rule 2441, Net Transactions with
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
NASD has filed with the SEC a proposed rule change to establish a second interpretation, proposed IM-2440-2, to Rule 2440. Proposed IM-2440-2 provides additional mark-up guidance for transactions in debt securities, except municipal securities.
SR-FINRA-2008-069 - Proposed Rule Change to Amend NASD Rule 3340 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts)
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
