Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1 ) NASD Rule 6210(a), the definition of "TRACE-eligible security," by (A) deleting the requirement that a debt security be registered under the Securities Act of 1933 ("Securities Act"), thus including debt securities that are
Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Mutual Fund
Executive Summary
On March 2, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 44 of the Rules of Fair Practice (Corporate Financing Rule) to exempt modified guaranteed annuity contracts and modified guaranteed life insurance contracts from
New Payments for Market Making Certification Requirement for FINRA Form 211
SR-FINRA-2009-005 - Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Financial Industry Regulatory Authority, Inc. ("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 NASD Rule 3210 (Short Sale Delivery Requirements) in light of the amendments to Rule 203 of Regulation SHO under the Act.
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 12214(c) through (e) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rule 13214(c) through (e) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code” and together
Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
