Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
<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").
To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
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.
FINRA member firms that use SentinelOne Endpoint Detection and Response (EDR) protections—and potentially other EDR service providers—should be aware of a vulnerability which could allow threat actors to gain local administrative access to publicly accessible servers. This Cybersecurity Advisory describes the vulnerability as well as recommendations to protect your firm.
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
Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
