Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
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INFORMATIONAL
Selling Away And Outside Business Activities
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
Senior Management
Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
Testimony Before Employee Benefits Security Administration Advisory Council on Employee Welfare and Pension Benefit Plans
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SR-FINRA-2008-053 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Certain Qualification Examination Fees
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
FOCUS Filing Dates
NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines remaining due dates for 2000 reports. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report,
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
