(a) Notice of Suspension, Cancellation or Bar
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to pay any fees, dues, assessment or other charge required to be paid under the FINRA By-Laws or rules, or to submit a required report or information related to such payment, FINRA staff may issue a written notice to such member or person stating
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Summary
FINRA requests comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities—i.e., corporate bond trades where the dollar price of the trade is based on a spread to a benchmark U.S. Treasury security that was agreed upon at an earlier time on the same day. The proposed changes would provide for immediate transparency into the size
Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
Application of NASD Rule 2330(f) to Proposed Profit Sharing Arrangement.
I strongly disagree on this proposed regulation rule #S7-24-15
Dont pass the SEC proposed rule s7 24-15
Please do not implement the draconian rules on leveraged investments....
Please do not implement your proposed rule! Not fair!
Proposed Rule Change Relating to Participation on the Alternative Display Facility
