NASDR has filed with the SEC a proposed rule change to the Code of Arbitration Procedure (Code) of the National Association of Securities Dealers, Inc. to change the interpretation of the Code such that claims relating to transactions in exempted securities, including government and municipal securities, may be submitted to the Office of Dispute Resolution (Office) for arbitration under the NASD
INFORMATIONAL
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Individual Investor
Internal Audit
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Affirmative Determination
Internet Trading
NASD Conduct Rules 3350 and 3370
Short Sales
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should
FINRA has updated the FAQ on the Eligibility Proceedings for Firms Participating in the MCDC Initiative.
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for 120 days, to December 29, 2005, the provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 (collectively, the "Rules") on a pilot basis, unless extended or permanently approved before that date. The Rules, as approved by the
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31
Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining
Key Topic(s)Exercise LimitsOptionsPosition Limits
Options Position and Exercise Limits
Executive Summary
SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
The proposed rules are prejudiced and outright racist. Who knows better than the individual how one wishes to spend, invest or throw away their own money? Certainly no bureaucratic rule setter whose never met the risk taker.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt: (1) temporary Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under FINRA Rule 1210 (Registration Requirements); and (2) temporary Supplementary Material .07 (
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide members with additional time to migrate their trade reporting processes to connect to TRACE through a permissible means other than Computer-to-Computer Interface (“CTCI”).
Monthly Disciplinary Actions June 2019
