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
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
OverviewThe following Guidance is to assist applicants as they prepare and submit information and documentation to FINRA for new Mergers and Acquisition (M&A) business. This Guidance is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review.FINRA Compliance Tool DisclaimerThis optional tool is provided to assist
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)
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 Staff Issues Guidance on Third-Party Recordkeeping Services
NASDR has filed with the SEC a proposed rule change to amend NASD Rule 3370 to permit the use of a "Hard to Borrow" list to comply with the affirmative determination requirement for short sales.
Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3011 and adopt new related interpretive material ("IM"), specifically IM-3011-1 and IM-3011-2. Proposed amendments to Rule 3011 would require each member to conduct the independent test of its anti-money laundering program on an
