On June 7, 2007, the SEC approved amendments to Rule 2790 to prohibit issuer-directed allocations of new issues to broker-dealers and to provide an exemption for issuer-directed non-underwritten offerings.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to permit the approval of research reports by a supervisory analyst of the New York Stock Exchange to satisfy NASD requirements that research reports be approved by a registered principal.
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
NASD has filed with the SEC proposed amendments to Rule 1120. Rule 1120 provides for a continuing education program for certain persons registered with the NASD. The proposed amendments would allow for NASD Regulation to require new programs as appropriate with customized training for various registration categories, with a supervisor's program being the first initiative.
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SEC Comment Period Expires: January 21, 2002
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Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule
Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements
