Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases
Five-Day Period for Replies to Responses to Motions in Arbitration
NASD has filed with the SEC a proposed rule change to establish October 4, 2004 as the effective date of the amendments to Rule 6954(d) that the SEC approved in April 2004. The amendments require that members record and report the execution price and firm capacity in Order Audit Trail Systems ("OATS") Execution Reports.
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
Satisfying third party download provider requirements of the SEC's rules for electronically stored records.
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Summary
FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.
The amended
Proposed Rule Change to Modernize and Simplify NASD Rule 2720
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
INFORMATIONAL
Injunctive Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Arbitration
Employment Disputes
Injunctions
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule 10335 of the NASD Code of
