This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Filing by Applicant or Service by FINRA
(1) An Applicant for membership shall file an application in the manner prescribed in Rule 1013, including the timely submission of an application fee pursuant to Schedule A to the FINRA By-Laws.
(2) An
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
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
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
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
As a retail investor we need this rule for transparency for the entire market
Treatment of Commodity Pool Trail Commissions under Rule 2810
GUIDANCEContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementContinuing EducationFirm ElementExecutive SummaryThe Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing education Firm Element training plans.
March 2022 Options Disclosure Document
I am wholeheartedly against the proposed rule changes.
