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
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
NASDR has filed with the SEC a proposed rule change to Schedule A to the NASD By-Laws and Conduct Rule 2710 of the National Association of Securities Dealers, Inc. to simplify the fee structure for public offerings filed under Rules 2710, 2720, and 2810.
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A) of the NASD to triple the position limits on standardized (exchange-traded) equity options and make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security.
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.
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Registered Representatives
Research
Executive Summary
On June 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2210 (Communications with the Public) that permit the approval of research reports by a
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
