This filing was withdrawn and replaced by SR-NASD-2006-109
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 10316 and to adopt Rule 10408 of the NASD Code of Arbitration Procedure (“Code”) to address attorney representation in arbitration and mediation.
SEC Approves the CAT Fee Dispute Resolution Process
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.
INFORMATIONAL
Registration Requirements
Effective Date: September 17, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Limited Principal—Financial and Operations
Limited Principal—Introducing Broker/Dealer Financial and Operations
Executive Summary
On May 21, 2001, the Securities and Exchange
(a) General Standards
(1) FINRA shall release to the public a copy of, and at FINRA's discretion information with respect to, any disciplinary complaint or disciplinary decision issued by FINRA, as defined in paragraph (e) of this Rule. FINRA shall, in response to a request, release to the requesting party a copy of any identified disciplinary complaint or disciplinary decision issued by
Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
IM-5100
IM-6130
Rule 3360
Rule 4632
Rule 5100
Rule 6130
Rule 9610
Short Exempt Marking Requirements
Short Sales
TRF Trade Reporting
Short Sale Requirements
Executive Summary
NASD is issuing this Notice to advise firms and other
Effective January 1, 2008,1 Dual Member firms will not be required to disclose the name of the securities market on which the transaction was effected on confirmations or reports as required under NYSE Rule 409(f).
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Except as provided in Rule 9280, there shall be no interlocutory review of a ruling or order issued by any Adjudicator in a proceeding governed by the Code. If an Adjudicator grants interlocutory review of a ruling or order, such review shall not stay a proceeding, except under Rule 9280 or as otherwise ordered by the Adjudicator.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008
