Continuing Application of NASD Rules and Incorporated NYSE Rules
Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
FINRA has commented on the following topics.
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Comment Period Expires: September 13, 2002
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Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
FINRA is aware of the Log4J vulnerability and has taken immediate steps to neutralize the risk. The mitigation tactics deployed by FINRA include defining alerts for exploit attempts, implementing web application firewall (WAF) rules designed to prevent exploitation of the vulnerability, conducting scans to confirm WAF rules are working as expected, and beginning to update Log4J libraries
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
