NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 2260 to require a broker-dealer to make reasonable efforts to forward a communication from an issuer or a trustee regarding a debt security to the beneficial owner of such security. The proposed rule change would also clarify IM-2260 (Suggested Rate of Reimbursement) to reflect that, in forwarding proxies and
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 amend NASD Rule 2210 (Communications with the Public) to create an exception to Rule 2210’s registered principal approval requirements for intermediary firms that use the sales material of
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3370(b)(2)(A) and the corresponding recordkeeping requirements under Rule 3370(b)(4)(B) (the "Affirmative Determination Requirements”) to require that, prior to accepting a short sale order from a broker/dealer that is not an NASD member ("non-member broker/dealer”), a member must make an affirmative
Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
