Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
GUIDANCE
Option Disclosure Documents
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Options
Institutional
Senior Management
Trading
Disclosure Documents Delivery
Characteristics and Risks of
Standardized Options
Special Statement for Uncovered
Option Writers
Options
Rule 2860
Executive Summary
On August 17, 2006, NASD filed with the Securities and Exchange
Commission (
Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
