NASD has filed with the SEC a proposed rule change to establish NASD Rule 1043, a new registration category for proctors of in-firm delivery of the Regulatory Element of NASD’s continuing education requirements.
Arbitrator List Selection Method for Intra-Industry Disputes
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to revise Rule 10322 of the NASD Code of Arbitration Procedure, which pertains to subpoenas and the power to direct appearances.
Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt rules relating to the establishment of a second Trade Reporting Facility or “TRF” to be operated in conjunction with Nasdaq, Inc. (“Nasdaq”). The second FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Chicago”) would provide
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
NASD has filed with the Securities and Exchange Commission ("Commission") a proposed rule change to Rule 6530 to limit the eligibility for quotation on the OTCBB of the securities of an issuer that is repeatedly late in filing required periodic reports.
Exemptive relief is denied due to a failure of the firm to develop and institute procedures reasonably designed to ensure compliance with Rule G-37.
I oppose restriction to my right to invest. I oppose SEC proposed rule #S7-24-15
