To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
NASD Rule 3220 does not require adjustment of an open limit order to sell in the event of a stock split.
Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
I don't like the rule. Don't do it, please.
Please stop proposed rule #s7-24-15
NASD has filed with the SEC a proposed rule change to amend Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central Registration Depository ("CRD") continuing education ("CE") Regulatory Element e-mails. The proposed rule change further would require that each member quarterly review and update the CE contact person(s
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2020.
Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
