FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rules 2340, 2710, and 2810 of the Conduct Rules of the National Association of Securities Dealers, Inc.
The NASD, through its wholly-owned subsidiary NASD Regulation, Inc., is filing with the SEC proposed rule changes to Rules 2710 and 2830 of the Conduct Rules of the Association.
INFORMATIONAL
Predispute Arbitration Agreements
Effective Date: June 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration
Code of Arbitration Procedure
Executive Summary
On April 6, 2001, the Securities and Exchange Commission (SEC or Commission) approved an amendment to National Association of
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that would require members to file retail communications concerning private placement offerings that are subject to those rules
This request for exemptive relief is granted based on the representations that the Contributions were made prior to the individual's employment with the Firm, and the individual has never been involved in municipal securities business as defined by MSRB Rule G-37. Additionally, the Firm has agreed to institute information barriers and compensation restrictions, and the contributions have been returned.
NASD has filed with the SEC portions of a Notice to Members discussing the application of NASD Rule 2790. NASD is not proposing any textual changes to the Rules of NASD.
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to correct the inaccurate descriptions of the territorial boundaries of two NASD District Offices.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to delete the rules related to the OTC Bulletin Board® Service (“OTCBB”) and cease its operation, and to enhance the regulation of quotations in OTC Equity Securities by adopting new requirements for member inter-dealer quotation systems.
