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
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to rescind the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure relating to the waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration.
Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
Extension of Regulatory Relief
Regulatory Notice
Notice TypeGuidance
Referenced Rules & NoticesNYSE Rule 409Regulation NMSSEC Rule 10b-10
Suggested RoutingComplianceLegalOperationsSenior ManagementTechnology
Key Topic(s)ConfirmationsStatements of Account
PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated,
Regulatory Notice 08-36 - SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to provide written explanations in arbitration awards upon the request of customers, or of associated persons in industry controversies.
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Suggested Routing
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Executive Summary
The Securities and Exchange Commission (SEC) is requesting comments on proposed amendments to the broker/dealer books and records rules. The proposed amendments clarify, modify, and expand recordkeeping requirements with respect to purchase and sale documents, customer
The Financial Industry Regulatory Authority ("FINRA") (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Discovery Guide to update the Document Production Lists.
