The FINRA Board of Governors will consider the following rulemaking items at its September 2011 meeting.
Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares))
GUIDANCE
"New Issue" Rule
Effective Date: November 2, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Executive Representatives
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Business Development Company
Direct Participation Program
Foreign Investment Company
IPO Distribution Manager
IPOs
New Issue
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On January 5, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change codifying existing requirements for access to and use of the OTC Bulletin Board® service (OTCBB).1 This codification will provide a ready reference to OTCBB rules and operational requirements in a discrete section of
INFORMATIONAL
Code Of Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Code Of Procedure
Disciplinary Action Appeals
Document Production
Eligibility and Qualification Standards
Failure to
SR-FINRA-2008-060 - Proposed Rule Change Relating to Trade Reporting Transfers of Securities Pursuant to an Asset Purchase Agreement
FINRA is reminding firms that the requirement for each ATS to acquire and use a single, unique MPID when reporting information to FINRA will become effective on February 2, 2015.
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
(a) Disclosure of Parties' Capacity in Loan or Borrow Transactions
(1) A member that lends or borrows securities in the capacity of agent shall disclose such capacity to the other party (or parties) to the transaction.
(2) Prior to lending securities to or borrowing securities from a person that is not a member of FINRA, a member shall determine whether the other party is acting
Proposed Rule Change to Revise the Series 55 Examination Program
