INFORMATIONAL
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Individual Investor
Internal Audit
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Affirmative Determination
Internet Trading
NASD Conduct Rules 3350 and 3370
Short Sales
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On September 3, 2016, firms migrated from the Pre-Pilot Data Security List to the Pilot Security List. During the month of September, for the purposes of data collection, all securities on the Pilot Security List (with the exception of any test securities that may be included) are in the Control Group. Securities will be moved into the Test Groups, as appropriate, once the
INFORMATIONAL
Displaying Customer Limit Orders
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KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
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Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
INFORMATIONAL
Dispute Resolution Subsidiary
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KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Dispute Resolution
Mediation
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INFORMATIONAL
Web-Based Regulatory Applications
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
Forms/Electronic Filing
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Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
INFORMATIONAL
Reg T And SEC Rule 15c3-3 Reason Codes
Effective Date: February 7, 2000
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KEY TOPICS
Legal & Compliance
Operations
Senior Management
Regulation T
SEC Rule 15c3-3
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