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.
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
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.
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
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.
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
