NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6740 to (1) relieve members of the obligation to file with NASD copies of certain information that is electronically accessible through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system; and (2) exclude from
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.
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1050 to create an exemption from the Research Analyst Qualification Examination (Series 86 and 87) for certain research analysts employed by foreign affiliates of a member who contribute to the preparation of a member's research reports.
SR-FINRA-2007-021 - The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
Proposed Rule Change to Extend a TRACE Pilot Program
Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
