Members may use the FINRA/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 6300B and 7200B Series, as well as all other applicable rules. The Rule&
Any decision issued under Rule 9750 or Rule 9760, as applicable, shall constitute final FINRA action. A person aggrieved by any final FINRA action issued pursuant to Rule 9750 or Rule 9760 may make application for review to the SEC in accordance with the Exchange Act.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 9790 and amended by SR-NASD-2007-052 eff. Aug.
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
I'm with passing this rule to improve the transparency of the stock market.
INFORMATIONAL
Taping Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3010
IM-8310-2
Taping Rule
Executive Summary
On August 28, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3010(b)(2), also known as the Taping Rule, and NASD
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
SR-FINRA-2008-042 - Financial Industry Regulatory Authority, Inc. ("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 codify FINRA's interpretation of the portfolio margin program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g) regarding (1) monitoring concentrated equity positions and (2) timing of day trading margin calls.
Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
