Dont pass the SEC proposed rule s7 24-15
NASDR has filed with the SEC a proposed rule change to amend the Form U-4, the Uniform Application for Securities Industry Registration or Transfer, and the Form U-5, the Uniform Termination Notice for Securities Industry Termination.
Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
NASDR has filed with the SEC a proposed rule change to Rules 112, 120, 1060, 1100, 3010, 6120, and 10101 and Interpretive Material 2110-4, 2210-4, 2420-1, 2420-2, and 2440, to correct cross-references to the NASD By-Laws.
NASD has filed with the SEC a proposed rule change to amend the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Termination (Form U-5) (collectively the "Forms").
Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Training
Executive Summary
On July 3, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice and Part I of Schedule D to the NASD By-Laws to exclude investment companies and business development
<p>Clarification of <i>NASD Notice to Members 96-33</i>: application of Rule 3040 to registered representatives of a distributor who also are employed by investment advisers to manage the portfolios of investment companies.<br/></p>
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
NASD Rule 2510 - Discretionary Accounts - Use of a negative response process under NASD Rule 2510(d)(2)(D) to designate an alternative money market sweep fund when existing sweep fund closes with inadequate notice.
