NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change: (1) to adopt NASD IM-6230, providing for exemptive relief from various reporting requirements for transactions in TRACE-eligible securities executed in connection with the termination or settlement of a credit default swap ("CDS") or a similar instrument; and (2
The Neutral Corner Volume 3 - 2016
Mission Statement
Bates Numbering: A Best Practice by Gregory Curley and Glenn S. Gitomer
Attorneys Serving as Arbitrators: A Cautionary Tale About Disclosure by Rushelle Bailey, FINRA Corporate Intern
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Robert W. Cook Named FINRA’s President and
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on February 13, 2015, for an additional three months
This rule filing was withdrawn and replaced by SR-NASD-2003-19.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding suggested rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2790 to expand the exemption for securities that are directed by the issuer to include offerings sold entirely on a non-underwritten basis, where no broker-dealer solicits or sells any new issue securities in the offering, and where no broker-dealer has
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Proposed Rule Change Relating to In Concert Reporting of Options Positions
REQUEST FOR COMMENT
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AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D
Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
