SEC Approves Access to Historic TRACE Data and Related Fees
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure ("Code") to simplify or clarify several fee-related provisions of the Code.
GUIDANCE
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SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Institutional
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Operations
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Contrary Exercise Advice
Exercise-by-Exception
Exercise Procedures
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Rule 2860
Rule 11850
GUIDANCE
Credit Extension/Day Trading Requirements
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Legal & Compliance
Operations
Senior Management
Day Trading
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On March 11, 2004, NASD announced a disciplinary action that resulted in a $10 million fine against three
I agree with this rule and think it should be in place to improve investor confidence in the markets
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Extended Hours Trading Risk Disclosure
Regulatory Notice
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Suggested Routing
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Compliance
Institutional
Legal
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Senior Management
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I am wholeheartedly against the proposed rule changes.
Less Government Regulation is "always" a good rule!
Executive Summary
The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
