NASD has filed with the SEC a proposed rule change to align certain supervisory control and inspection requirements in NASD Rules 3010 and 3012 with the supervisory control and inspection requirements in New York Stock Exchange ("NYSE") Rules 342.19 and 342(a)(b)/03. The SEC approved these rules on June 17, 2004. In addition, NASD is proposing several non-substantive technical
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
Treatment of Commodity Pool Trail Commissions under Rule 2810
Please go ahead and execute ASAP....you have the power to help stop this manipulation! There seem to be many rules proposed and no observable action
NASD has filed with the SEC a proposed rule change to extend retroactively to July 1, 2004, and prospectively through December 31, 2004, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Interpretation" or "Manning"). Without such an extension, these
NASD has filed with the SEC a proposed rule change for a program to conduct fingerprint-based background checks of NASD employees and independent contractors in the State of New York ("New York State") and, as business need may dictate, a program to conduct fingerprint-based background checks of NASD employees and independent contractors outside of New York State.
FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or Commission) has approved new Article III, Section 44 of the Rules of Fair Practice (Corporate Financing Rule or Rule), for the review of
Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
