Effective December 19, 2007, locations that solely conduct final approval of research reports are exempt from the definition of Office of Supervisory Jurisdiction.
This Rule 6400 Series sets forth quotation and trading requirements for "OTC Equity Securities" as that term is defined in Rule 6420.
Members shall use the OTC Reporting Facility for trade reporting in OTC Equity Securities and Restricted Equity Securities in compliance with the Rule 6600 and 7300 Series, as well as all other applicable rules and regulations.
Amended by
As a supplement to filing FOCUS reports required pursuant to SEA Rule 17a-5 and FINRA Rule 2010, each member, as FINRA shall designate, shall file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest. The content of such schedules or reports, their format, and the timing and the frequency
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
I thought this is a free country! Stop restricting freedom of investors and changing the rules of the game!
I totally disagree with the regulators. If rule change all the money I loss with never recover
Hello, as a financial services professional I oppose SEC proposed rule #S7-24-15
NASD has filed with the SEC a proposed rule change to NASD Rule 2860(b)(3)(A) to amend the options position and exercise limits for positions entered into under certain enumerated hedge strategies.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
