SR-FINRA-2008-037 - Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions)
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3010(a)(7) to require that registered principals, in addition to registered representatives, attend an annual compliance meeting. NASD also is proposing a technical amendment to Rule 3010(a) to clarify that each member is required to establish and maintain a system to supervise the activities of each registered
FINRA-2008-013 - Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
Effective Date: December 15, 1997
SUGGESTED ROUTING
Corporate Finance
Institutional
Legal & Compliance
Syndicate
Training
Executive Summary
On October 29, 1997, the Securities and Exchange Commission (SEC) approved amendments that clarify the application of Rules 2710 and 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules to
Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
Less Government Regulation is "always" a good rule!
I am wholeheartedly against the proposed rule changes.
FINRA Revises the Series 24 and 23 Examination Programs
