The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10333 of the Code of Arbitration Procedure to raise member surcharges, and hearing and prehearing process fees paid by members.
Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 6957(c) to reflect July 10, 2006 as the effective date for the Order Audit Trail System (OATS) reporting requirements for manual orders on an immediately effective basis.
Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
Summary
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS). As amended, a member ATS may apply for the exemption for transactions between a member subscriber and a non-member entity
<p>The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.<br/></p>
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through June 30, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Rule" or "Manning").
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1015, 9261, 9341, 9524 and 9830 and Funding Portal Rule 900 to allow for video conference hearings before the Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) under specified conditions.
As an AMC GME APE I demand market transparency! Same day reporting is doable with the technology. End PFOF and Ban Dark Pools! Citadel Securities Scandal CEO Ken Griffin should be arrested immediately ORTEX should be releasing information to the public for free Enforce the rules that you already have in order SEC Rule 304(a) (4): Suspension, Limitation, or Revocation to the Exchange Link to rule
Effective: Immediately
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Trading
Executive Summary
On October 3, 1997, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, amendments to National Association of Securities Dealers, Inc
