SR-FINRA-2009-008 - Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
NASDR has filed with the SEC a proposed rule change to amend Rule 2520 of the Rules of the NASD relating to margin for exempted borrowers, good faith accounts, joint back office arrangements and options transactions.
The staff granted an exemption from FINRA Rule 5131(b) with respect to purchases of “new issues” by the National Railroad Retirement Investment Trust.
Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A)(vii) of the NASD to make permanent the Association's Equity Option Hedge Exemption, which has been operating as a pilot program since 1990.
