NASDR has filed with the SEC a proposed rule change to amend Rule 3110 (the "Books and Records Rule") of the Conduct Rules of the National Association of Securities Dealers, Inc. to: (1) change the definition of "institutional account" to include the accounts of investment advisers that, under the National Securities Markets Improvement Act of 1996 and new rules adopted by the
NASDR has filed with the SEC a proposed rule change to change the effective date of SR-NASD 98-29, which amended Rule 2210 of the Conduct Rules of the NASD to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.
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 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities on a more frequent basis.
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Effective February 5, 2009, firms may supervise "market letters" as correspondence rather than sales literature, unless the letters are distributed to 25 or more existing retail customers within any 30-calendar-day period and make a financial or investment recommendation or otherwise promote the firm's product or service.
Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
The Consolidated Audit Trail (CAT) topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
NASDR has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure of the NASD to extend the effectiveness of the rule for six months.
SEC Approves New Supervision Rules
