FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 4632C and 6130C relating to the NASD/NSX Trade Reporting Facility to reflect certain changes in the facility's functionality and to conform, to the extent practicable, to
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
On August 10, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to change the territorial boundaries of certain NASD district offices.
INFORMATIONAL
Anti-Money Laundering CompliancePrograms
Effective date: December 31, 2002
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KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
NASD has adopted amendments to NASD Rule 3011 (Anti-Money Laundering Compliance Program) to require each member to provide to
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 18, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval a comprehensive proposed rule change that will address three primary issues: (1) how an entity or person becomes a member of the NASD® (membership
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Frequently asked questions related to OATS reporting requirements to OTC equity securities.
