NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code"), NASD Code of Arbitration Procedure for Industry Disputes ("
Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
NASD has filed with the SEC a proposed rule change to require members to create and maintain business continuity plans to use in the event of a significant business disruption. In addition, the proposed rule change would require members to supply NASD with specified information to be used by NASD in the event of future significant business disruptions.
Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesDissemination of Transaction InformationOperationsRule 6200 SeriesTRACE RulesTransaction ReportingExecutive SummaryOn September 3, 2004, the Securities and Exchange Commission (SEC or Commission) approved
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).
SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 1050 and 2711 to implement certain recommendations contained in the December 2005 Joint Report by NASD and the NYSE on the Operation and Effectiveness of the Research Analyst Conflict of Interest Rules. The proposed rule change is intended to improve
Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program
