NASDR has filed with the SEC a proposed rule change to create Rule 2790, Trading in Hot Equity Offerings, to replace the Free-Riding and Withholding Interpretation, IM-2110-1. In addition, there are a number of technical amendments to other NASD rules that refer to IM-2110-1.
FINRA amended NYSE Rule 342.13 to eliminate the requirement that the General Securities Principal Examination (Series 24) be passed after July 1, 2001, in order to be recognized as an acceptable alternative to the General Securities Sales Supervisor Qualification Examination (Series 9/10) for persons whose duties do not include supervision of options or municipal securities sales activities.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA (f/k/a/ National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1) NASD Rule 6230(e) to exempt from reporting to the Trade Reporting and Compliance Engine ("TRACE") transactions in TRACE-eligible securities resulting from the exercise or
FINRA (f/k/a National Association of Securities Dealers, Inc. or "NASD") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 11870 (Customer Account Transfer Contracts) and New York Stock Exchange ("NYSE") Rule 412 (Customer Account Transfer Contracts) to make the time frames in the rules
NASD has filed with the SEC a proposed rule change to amend Rule 7010(k)(3)(A)(ii) relating to the Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program on October 31, 2004.
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Summary
FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule 2251 regarding rates of reimbursement for expenses incurred in processing and forwarding proxy and other issuer-related materials.1 As specified in more detail below, the amendments apply the notice and access fees set forth under the rule to the distribution of investment company shareholder reports
SR-FINRA-2008-012 - Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02
NASDR has filed with the SEC a proposed rule change to Rule 11860 of the Uniform Practice Code of the National Association of Securities Dealers, Inc. to permit members to use the facilities of a Qualified Electronic Vendor for electronic confirmation and affirmation of depository eligible transactions.
