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 Rules 4632C and 6130C relating to the NASD/NSX Trade Reporting Facility to reflect certain changes in the facility's functionality and to conform, to the extent practicable, to
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
Minneapolis, MN
September 17, 2019
Agenda
8:30 a.m. – 9:00 a.m.
Registration
Continental Breakfast
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Supervision
Discuss highlights of the consolidated supervision rules
Review the requirements of FINRA Rules 3110, 3120, and 3130
Discuss case studies
10:45 a.m
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
(a) A member, when notified by FINRA, may not continue to custody or retain record ownership of assets, whether such assets are proprietary or customer assets, at a financial institution that is not a member of FINRA, which, upon FINRA staff's request, fails promptly to provide FINRA with written verification of assets maintained by the member at such financial institution.
(b) The
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on two proposed rules, National Association of Securities Dealers, Inc. (NASD®) Rules 2315 and 2350, which would require members to review
I believe there are investors who can realize profits from this trading model.That said I have thought about simplifying the rules concerning any day trading.I believe these investors should have skin in the game and as such must maintain a minimum equity of $100,000. in their margin account at all times.And in the absence of time and tick evidence, I would cap the gross commitment on a given
NASD has filed with the SEC a proposed rule change to amend NASD Rules 3130, 3131 and the Rule 9410 Series to expand NASD’s authority to take expedited action against all member firms with capital deficiencies, to permit NASD to suspend a member that operates for any period of time with inadequate net capital and to make non-substantive clarifications to these provisions.
GUIDANCE
Supervisory Controls
Effective Date: February 14, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Rule 3012 (Supervisory Control Systems)
Executive Summary
On November 18, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD
