Comment Period Expires: October 31, 1996
Executive Summary
The NASD requests comment on proposed amendments to NASD® Rule 3010 (formerly NASD Rules of Fair Practice, Article III, Section 27) to adopt a rule requiring each member firm whose work force is comprised of a specified number of persons that have been associated with a disciplined firm, or each member firm that is itself a disciplined
GUIDANCE
Option Disclosure Documents
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Options
Institutional
Senior Management
Trading
Disclosure Documents Delivery
Characteristics and Risks of
Standardized Options
Special Statement for Uncovered
Option Writers
Options
Rule 2860
Executive Summary
On August 17, 2006, NASD filed with the Securities and Exchange
Commission (
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to amend Rule 7010(k)(3)(A)(ii) to offer the ability to receive, for a reduced fee, a "snapshot" of real-time TRACE transaction data ("
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to delete the rules related to the OTC Bulletin Board® Service (“OTCBB”) and cease its operation, and to enhance the regulation of quotations in OTC Equity Securities by adopting new requirements for member inter-dealer quotation systems.
Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
NASDR has filed with the SEC a proposed rule change to amend and implement Rule 1140 and to make other conforming changes.
Cross References–
Rule 6350A, Clearance and Settlement
Rule 11000 Series, Uniform Practice Code
Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
