Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Proposed Rule Change to Modernize and Simplify NASD Rule 2720
Five-Day Period for Replies to Responses to Motions in Arbitration
Preliminary Note: FINRA recently adopted enhanced confirmation disclosure requirements for corporate and agency bonds.
INFORMATIONAL
The PORTAL Market
Effective Date: June 16, 2001 For PORTAL Equity Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Technology
Trading & Market Making
Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Satisfying third party download provider requirements of the SEC's rules for electronically stored records.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to allow member firms to voluntarily submit, within six months of the effective date of this rule proposal, funds previously accumulated by member firms to satisfy their, and subsequently NASD's, obligation to remit SEC Section 31-related fees, to NASD.
Effective Date: December 15, 1997
SUGGESTED ROUTING
Corporate Finance
Institutional
Legal & Compliance
Syndicate
Training
Executive Summary
On October 29, 1997, the Securities and Exchange Commission (SEC) approved amendments that clarify the application of Rules 2710 and 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules to
