Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Comment Period Expires: October 31, 1996
Executive Summary
The NASD requests comment on proposed amendments to NASD® Rule 3010 (formerly NASD Rules of Fair Practice, Article III, Section 27) to adopt a rule requiring each member firm whose work force is comprised of a specified number of persons that have been associated with a disciplined firm, or each member firm that is itself a disciplined
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
Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
This filing has been withdrawn.NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6750 to impose restrictions on the display of quotes and orders in sub-penny increments for non-Nasdaq OTC equity securities.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2020.
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
