Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Reorganization and Revision of NASD Mediation Rules
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 1, and Article VI of the Rules
To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2210 and IM-2210-6 to clarify the filing requirements for communications concerning investment analysis tools.
The proposed rule is short sided and hurts regular American citizens, please reject the proposal.
To restrict is to deny the FREE MARKET and lead to the demise of trading eventually. LET THE MARKET RULE..
It is important to me that you know I am against SEC Proposed Rule #S7-24-15.
NASD has filed with the SEC a proposed rule change to extend the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure ("Code") that requires industry parties in arbitration to waive application of contested California arbitrator disclosure standards upon the request of customers or, in industry cases, of associated persons with claims against member firms or other
