SEC Approves Amendments to Rules Governing Communications With the Public
Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.
Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to: (1) codify a staff interpretation that the non-cash compensation provisions set forth in NASD Rule 2820(g) apply to group variable contracts that are exempted securities; and (2) to enumerate those Rules of the Association and Interpretive Materials thereunder that apply to
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
This Interpretive Material sets forth a membership waive-in process for certain NYSE Alternext US LLC ("NYSE Alternext") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership
The FINRA Board of Governors will consider the following rulemaking items at its February 2012 meeting.
