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This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
Unless otherwise provided, terms used in the Rule 1010 Series shall have the meaning as defined in Rule 0120.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
TO: All NASD Members and Other Interested Persons
Recent changes to certain Securities and Exchange Commission ("SEC" or "Commission") requirements for the filing of public offerings have raised interpretive questions concerning the Association's filing requirements. In 1982, the SEC adopted new forms for registering securities, Forms S-l, S-2, and S-3, as well as new
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
Modernising reporting instructions is a key pillar of the FCA’s work, alongside the Bank of England, to transform data collection. The other pillars of our Transforming Data Collection programme are integrated reporting and data standards, which we believe will collectively support us to achieve a vision of digital regulatory reporting and digital regulation. Your initiative is a hugely
List of extension reason codes with summary information and filing details.
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
