SR-FINRA-2008-044 - Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters
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 adopt
new FINRA Rule 5122.
SR-FINRA-2008-043 - Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
SR-FINRA-2008-042 - 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 codify FINRA's interpretation of the portfolio margin program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g) regarding (1) monitoring concentrated equity positions and (2) timing of day trading margin calls.
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 make permanent the portfolio margin pilot program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g).
SR-FINRA-2008-040 - Proposed Rule Change Relating to Elimination of the Requirement to Report Yield to TRACE and Addition of Yield Calculated by TRACE System in Disseminated Data
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to (1) adopt NASD Rule 2710, without material change except for paragraphs (b)(10) and (11), as a FINRA rule in the consolidated FINRA rulebook; and (2) clarify and streamline the notice and other requirements in FINRA rules relating to Regulation M under the Act.
This filing has been withdrawn.NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6750 to impose restrictions on the display of quotes and orders in sub-penny increments for non-Nasdaq OTC equity securities.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 10308 of the NASD Code of Arbitration Procedure ("Code") relating to the classification of arbitrators.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3370 to clarify that members must make certain affirmative determinations when effecting long sales and document compliance with those affirmative determination requirements.
