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 7610A to modify the securities transaction credits that apply to FINRA members that utilize the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility
NASD has filed with the SEC a proposed rule change to adopt new Interpretive Material ("IM") to NASD Rule 2210(d)(2)(N) to allow NASD member firms to use certain investment analysis tools that show the probability that investing in specific securities or mutual funds may produce a desired result.
Comments on Pattern Day Trader RequirementsA lot has changed since the day trading rule went into effect. Settlement is now one business day, commissions have gone to zero at many firms, volumes have exploded. All these factors are in favor of relaxing the day trading rule and eliminating some of its provisions.There is no evidence to suggest that it is riskier to close a trade in five minutes
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This rule filing was withdrawn and replaced by SR-NASD-2003-19.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.
The FINRA Board of Governors will consider the following rulemaking items at its April 2015 meeting: <br><br>
<ul>
<li>Communications with the public</li>
<li>Mark-up/mark-down rule application to US treasury securities</li>
<li>Municipal advisor exam fee</li>
<li>Trading activity fee</li>
</ul>
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and
Proposed Rule Change Relating to In Concert Reporting of Options Positions
Request for Interpretive Guidance Under NASD Rule 2711
