FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act; Effective Date: April 1, 2008
The purpose of this Notice is to advise FINRA member firms that FINRA is temporarily increasing the maintenance margin requirements for auction rate securities pursuant to NYSE Rule 431(f)(8)(A) and NASD Rule 2520(f)(8)(A).
The purpose of this Election Notice is to announce the nominees for the District Committees and the District Nominating Committees.1
The individuals identified in this Notice have been nominated for the District Committees and District Nominating Committees, for terms beginning in June 2008. The term of office for District Committee members is three years, unless an individual was selected to
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements; Effective Date: February 19, 2008
Guidance on Reporting Electronic Communications Network (ECN) Transactions
On July 30, 2007, NASD and the New York Stock Exchange (NYSE) consolidated their member regulation operations.
Effective March 13, 2008, when issuing liability notices in connection with certain securities transactions, firms are required to use the automated liability notification system of a registered clearing agency, provided that both parties to the contract are participants in a registered clearing agency that has such an automated system.