SR-FINRA-2009-012 - Proposed Rule Change Relating to Margin Requirements for Certain Transactions in Credit
SR-FINRA-2009-011 - Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes
SR-FINRA-2009-010 - Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
SR-FINRA-2009-009 - Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
SR-FINRA-2009-008 - Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312
INFORMATIONAL
Trading Obligations
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Best Execution
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Locked/Crossed Markets
Executive Summary
As more derivative instruments overlay securities listed on The Nasdaq Stock Market ("Nasdaq") and more Nasdaq-listed securities are included
INFORMATIONAL
Weighted Average And Special Pricing Formula Trades
Effective Date: July 17, 2000
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On May 31, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (
INFORMATIONAL
Variable Contracts
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Insurance
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Variable Contracts
Suitability
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Variable Contracts
Executive Summary
Due to the growth in sales and the popularity of variable life insurance products, NASD
Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required.
INFORMATIONAL
SEC Rule 15c3-3 Reason Codes
Effective Date: July 10, 2000
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Reason Codes
SEC Rule 15c3-
INFORMATIONAL
Series 55 — Equity Trader Examination
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Registration
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Equity Trader
Proprietary Trading
Series 55 Examination
Executive Summary
&
