NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Interpretive Material 8310-2 to postpone the effective date of recently approved changes to this Interpretive Material and the Forms U-4 and U-5.
Distribution Manager is used by the lead manager or book runner of a firm-commitment initial public offering (IPO) or follow-on offering to report underwriting commitments and retentions on behalf of the syndicate.
Important notes to consider when searching the FINRA Disciplinary Actions Online Database
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
(a) Each member shall synchronize its business clocks, including computer system clocks and mechanical time stamping devices, that are used for purposes of recording the date and time of any event that must be recorded pursuant to the FINRA By-Laws or other FINRA rules, with reference to a time source as designated by FINRA, and shall maintain the synchronization of such business clocks in
Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 7610A and 7620A to modify certain fees and credits applicable to Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and/or the FINRA/Nasdaq Trade Reporting
These rule changes are long overdue - public faith in equity markets represent a vital economic and strategic strength of the US and our position in global finance. There will be specific firms that lobby to oppose these rules for their own selfish near term purposes - but they are ultimately short sighted and against the public interest. Tens of millions of Americans rely on equity markets now
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure ("Code") to provide payment to arbitrators for deciding discovery-related motions without a hearing.
INFORMATIONAL
Online Comments
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representative
Senior Management
Notices to Members
Public Access to Comments
Requests for Comment
Executive Summary
NASD today announced that it is now making available on its Web Site comments filed in response to Notices
