Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
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
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
SummaryAn efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
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
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
NASDR has filed with the SEC a proposed rule change to Schedule A to the By-Laws and Rule 2710 of the NASD to delete the provision mandating that Corporate Financing filing fees be paid in the form of a check or money order.
