This article is intended to clarify a factual reference to SEC Rule 17a-4 (f)(2)(i) previously reported in the Fall 2000, Volume 14.3, of the NASD Regulatory & Compliance Alert.
SEC Rule 17a-4 (f)(2)(i)
Q: If a broker/dealer intends to store records using electronic storage media, can a third party vendor provide services to a broker/dealer if the third-party vendor
Proposed Rule Change to Extend to July 16, 2011, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
Unless otherwise provided, terms used in the Rule 1010 Series shall have the meaning as defined in Rule 0120.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member
<p>Rebate of SEC Rule 12b-1 fees and commissions to non-member retirement plan and its participants will not violate NASD Rule 2420 if the SEC determines that the rebate recipients are not required to register as broker/dealers.</p>
I urgently oppose this rule that would severely limit my investment options.
I oppose the proposed rule that hinders my ability to invest in these type of funds.
I oppose the passage of these new rules limiting by ability to freely trade options
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2019 FINRA Advertising Regulation Conference, and receive access to all conference materials. View the conference brochure for a list of recorded sessions and their descriptions.
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Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the definition of "Non-Professional" in Rule 7010(k)(3)(C)(i), relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data and fees, and add new Rule 7010(k)(3)(A)(iv) to clarify that a natural person who receives and
