Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
GUIDANCE
Arbitration Time Limits
Effective Date: May 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Arbitration
Dispute Resolution
Eligibility of Arbitration Claims
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to Rule 10304 of the NASD Code of Arbitration
Procedure (Code) relating to time limits on
Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
We would like to see more transparency in the market. Retail investors are not privy to everything the hedge funds are. We cannot trade in pre market or after hours. There are rules in place, and we would like to see the SEC, DTCC, Et al to enforce those rules.
FINRA Rule 2360 (Options) and FINRA Rule 2359 (Position and Exercise Limits; Liquidations) incorporate certain option exchanges' requirements for options and warrant position and exchange limits. Changes to an options exchange rules could affect a FINRA-regulated firm’s compliance with the FINRA rules. Accordingly, FINRA will provide updates when an options
(a) "Adjudicator"
The term "Adjudicator" means:
(1) a body, board, committee, group, or natural person that presides over a proceeding and renders a decision;
(2) a body, board, committee, group, or natural person that presides over a proceeding and renders a recommended or proposed decision which is acted upon by an Adjudicator described in paragraph (a)(1); or
(3) a
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 disseminate all last sale reports of transactions in over-the-counter ("OTC") American Depositary Receipts ("ADRs") and Canadian issues immediately upon receipt of such
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
GUIDANCE
Short Sale Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Operations
Trading
ACT Reporting Requirements
IM-6130
Rule 3350
Rule 6130
Short Sale Reporting Requirements
Executive Summary
On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ),
