08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
Minor Rule Violation Plan
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD IM-9216
NASD Rule 9216
NYSE Rule 476A
SEC Rule 19d-1(c)(2)
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Key Topic(s)Minor Rule Violation Plan (MRVP)
Executive Summary
Effective September 24, 2007, the list of violations eligible for
Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt NASD Rules 2110, 2120, and 2290 as FINRA rules in the consolidated FINRA rulebook without material change and to delete Incorporated NYSE Rule 401(a), Incorporated NYSE Rule 435, with the exception of paragraph (5), and NYSE Rule Interpretations 401/01 and 401/02.
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations Managers
Senior Management
Options Exemption
Trading Activity Fee
Discussion In 2003, the Securities and Exchange Commission (SEC) approved amendments to the NASD By-Laws establishing a Trading Activity Fee (TAF).1 Among the covered securities excluded from the TAF are
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA Revises the Series 16 Examination Program
The FINRA Board approved FINRA’s 2025 budget and a rulemaking item related to outside business activities and private securities transactions, and appointed new members to the SFAC and NAC.
