Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
INFORMATIONAL
Statutory Employment Discrimination
Arbitration Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration Fees
Executive Summary
On October 24, 2005, the Securities and Exchange Commission (SEC)
approved an amendment to the fee schedule for certain statutory
employment discrimination claims.1 Under the new fee schedule,
a current or former
Member Firms Now May Submit EDGAR Documents On Computer Disks To Meet The Information Requirements Of SEC Rule 15c2-11 And NASD Marketplace Rule 6740
Member firms may now demonstrate compliance with Securities and Exchange Commission (SEC) Rule 15c2-11 and National Association of Securities Dealers, Inc. (NASD®) Marketplace Rule 6740 by submitting one copy of EDGAR documents on computer disk, in
NASDR has filed with the SEC a proposed rule change to amend NASD Rule 3370 to permit the use of a "Hard to Borrow" list to comply with the affirmative determination requirement for short sales.
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
I oppose the SEC Proposed Rule #S7-24-15 for the following reasons 1. It is a form of Central Control for the "government" to impose its judgement on investors about investment vehicles that play a key role in risk mitigation for portfolio managers. 2. It is way to impose additional costs on investors and barriers to market efficiency. When markets are made less efficient people will
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance Meetings
Rule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7
(a) General Considerations
This Rule provides a limited exception to Rule 2210(d)(1)(F). No member may imply that FINRA endorses or approves the use of any investment analysis tool or any recommendation based on such a tool. A member that offers or intends to offer an investment analysis tool under this Rule (whether customers use the member's tool independently or with assistance
NASDR has filed with the SEC a proposed rule change to amend Rules 9120 and 9211 of the NASD to provide for the Office of Disciplinary Affairs of NASD Regulation to authorize all disciplinary actions.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3360 to expand the short interest reporting requirements to over-the-counter ("OTC") equity securities.
