NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.
NASDR has filed with the SEC a proposed rule change to clarify the cover pages of Forms U-4 and U-5.
NASDR has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure to implement a voluntary single arbitrator pilot program.
NASDR has filed with the SEC a proposed rule change to create Rule 2790, Trading in Hot Equity Offerings, to replace the Free-Riding and Withholding Interpretation, IM-2110-1. In addition, there are a number of technical amendments to other NASD rules that refer to IM-2110-1.
NASDR has filed with the SEC a proposed rule change to the Rule 1010 Series, which governs member admission.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed a proposed rule change to Rule 10335 the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the effectiveness of the rule for one year, pending Commission action on a rule filing to amend the rule and make it a permanent part of the Code.
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.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change that includes: (1) clarifying the Department of Market Regulation's role in disciplinary proceedings; (2) requiring members to designate, as the custodian of the record on the Form BDW, persons who are associated with the firm at the time the forms are filed; (3) clarifying the
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Membership and Registration Rule 1022(b) (Limited Principal - Financial and Operations ("FINOP")), Membership and Registration Rule 1022(c) (Limited Principal - Introducing Broker/Dealer Financial and Operations ("Introducing FINOP")), and Procedural
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposal to amend Schedule A of the NASD By-Laws for the timely filing of reports and to amend NASD IM-9216 to expand the NASD's Minor Rule Violation Plan pursuant to SEC Rule 19d-1.
