(a) Prior written notice shall be given to FINRA whenever any member guarantees, endorses or assumes, directly or indirectly, the obligations or liabilities of another person.
(b) Prior written approval must be obtained from FINRA whenever any member receives flow through capital benefits in accordance with Appendix C of SEA Rule 15c3-1.
• • • Supplementary
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On September 26, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the National Association of Securities Dealers, Inc. (NASD®) short sale rule to provide that a "legal" short sale can be effected at a price equal to or greater than the offer price
I agree with this rule and think it should be in place to improve investor confidence in the markets
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through January 30, 2009, the current rules regarding the use of multiple Market Participant Symbols ("MPIDs") in
NASDR has filed with the SEC a proposed rule change to amend Rule 3110(f) of the NASD governing the use of predispute arbitration agreements with customers.
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
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KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and
I oppose FINRA's proposed rule #22-08. My ability to invest the finances of my family should not be left up to the discretion of government or regulators. The ability to invest in public securities should not be withheld from the general public not should we be required to pass a test to invest our own finances. We take a known, and sometimes unknown, risk when we invest our finances
NASD has filed with the SEC a proposed rule change to amend NASD Rule 1022 to establish certain qualification requirements for supervisors of research analysts. More specifically, the proposed rule change would require supervisors of research analysts to pass the regulatory part (Series 87) of the Research Analyst Qualification Examination or the Series 16 Supervisory Analyst Examination
