Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to (1) adopt NASD Rule 2710, without material change except for paragraphs (b)(10) and (11), as a FINRA rule in the consolidated FINRA rulebook; and (2) clarify and streamline the notice and other requirements in FINRA rules relating to Regulation M under the Act.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
Sec. 8.5 (a) The Board may make such rules and regulations as it may deem expedient, not inconsistent with law, the Certificate of Incorporation, or these By-Laws, concerning the issuance, transfer, and registration of shares of capital stock of FINRA Dispute Resolution. The Board may appoint, or authorize any principal officer to appoint, one or more transfer agents or one or more
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of September 25, 1992, the following 35 issues joined the Nasdaq National Market, bringing the total number of issues to 2,934:
Symbol
Company
Entry Date
SOES Execution Level
SNSC
Swing-N-Slide Corp.
8/28/92
1000
ABMD
ABIOMED, Inc.
8/
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of September 16, 1988, the following 15 issues joined the NASDAQ National
SR-FINRA-2008-044 - Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
SR-FINRA-2008-032 - Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index
Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the
Consolidated FINRA Rulebook
