SR-FINRA-2009-013 - Proposed Rule Change to Amend Rules 12206 and 13206 of the Customer and Industry Codes
Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
This proposed rule is despicable. It demonstrates gross negligence by FINRA reps
I support no rule changes regarding so-called "complex" investments by regulators.
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business Expansions
IM-1011-1
Material Change in Business
Operations
Rule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Corporate FinancingExecutive
RepresentativesLegal & ComplianceSenior
ManagementOperations
AffiliatesControl EntityInstitutional
AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D
Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
Collection of customer information from account application forms.
