Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors.
INFORMATIONAL
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations
Rule 3360 Short Interest Reporting Short Sales
Executive Summary
On January 10, 2003, the Securities and Exchange Commission (SEC) issued an order announcing the immediate effectiveness of amendments to NASD Rule 3360 (Rule 3360 or the Rule) that clarify that
Extension of Regulatory Relief
Regulatory Notice
Notice TypeGuidance
Referenced Rules & NoticesNYSE Rule 409Regulation NMSSEC Rule 10b-10
Suggested RoutingComplianceLegalOperationsSenior ManagementTechnology
Key Topic(s)ConfirmationsStatements of Account
PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange
SR-FINRA-2009-025 - Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE
SR-FINRA-2009-018 - Proposed Rule Change to Adopt FINRA Rule 2342 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to further delay the effective date of one of the provisions in recently-approved amendments to these rules.
