Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceOperationsSystemsTrading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved a new short-sale rule for Nasdaq National Market® securities traded on The Nasdaq Stock Market™ (Nasdaq). The rule takes effect September 6, 1994, for an 18-month pilot period.
The Nasdaq® short-sale
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A regarding the Alternative Display Facility ("ADF"). Specifically, the proposed rule change expands the prohibition on locking or crossing quotations in NMS stocks to include pre-opening and post-closing
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish January 14, 2008 as the final implementation date of the rule changes approved in SR-NASD-2005-146.
Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
The Securities and Exchange Commission (SEC) recently approved changes to Rule 17a-11 that eliminate certain burdensome filing requirements. The requirements to give notice basically are unchanged. These amendments are the first major revisions to the rule in more than 20 years,
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the
FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System1 ("Regulation T") and SEA Rule 15c3-3(n)2 to FINRA for approval.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt, in anticipation of The NASDAQ Stock Market LLC (the “Nasdaq Exchange”) beginning to trade non-Nasdaq exchange-listed securities on an unlisted trading privileges (“UTP”) basis, new NASD Rule 5150 to require an NASD member that is registered as a market maker with the Nasdaq Exchange
Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
