Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting)
Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
INFORMATIONAL
Forms U4
Operative Date: October 27, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Central Registration Depository
Form U4
New Member Application
Rule 1013
Rule 1140
Executive Summary
NASD has amended Rule 1013 (New Member Application and
Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit projections of performance in institutional communications and specified communications to qualified purchasers.
Please allow qualified investors to invest in the manner they see fit.
Stop babysitting adults and let each person be responsible for their actions.
Too many rules!
One thing you can do is to not allow people to short equities unless there is an uptick.
Some genius killed that rule, creating a lot of havoc in the market.
Take care of things that helps the market be stable, not blocking people
