FINRA Recommends Review of Municipal Securities Activities
REQUEST FOR COMMENT
Proposed Amendments to Rule 2720
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
Affiliate
Conflicts of Interest
Equity & Debt Offerings
Investment Banking
Qualified Independent Underwriter
Rule 2710
Rule 2720
Underwriting Compensation
Executive Summary
NASD is issuing
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 to establish new NASD Rule 2290 to address disclosures and procedures concerning the issuance of fairness opinions.
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
We need this rule to be passed asap. As a retail investor this would help transparency in the markets!
Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
