NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Introducing Broker-Dealer Financial and Operations (Series 28) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Direct Participation Programs (Series 22) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better
(a) A FINRA member operating in or participating in any FINRA system or facility shall provide information orally, in writing, or electronically (if such information is, or is required to be, maintained in electronic form) to the staff of FINRA when FINRA staff makes an oral, written or electronically communicated request for information relating to a specific FINRA rule, SEC rule, or
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require members to report all transactions that must be reported to NASD and that are subject to a regulatory transaction fee pursuant to Section 3 of Schedule A to the NASD By-Laws to the Nasdaq Market Center ("NMC") and/or the Trade Reporting and Comparison
The Rules shall be interpreted in light of the purposes sought to be achieved by the Rules and to further FINRA's regulatory programs.
Cross Reference–
Resolution under Article XI, Section 1, of the By-Laws: Interpretations and Explanations
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
My investment experience has been limited to the last few years, so I can’t pretend to have a comprehensive understanding of every law, rule, guideline, parameter, and standard operating procedure that financial institutions operate in accordance with. However, I can say with certainty that neither do major financial institutions responsible for the behavior of our markets. If the role of a
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD rules to modify and expand NASD's authority to initiate trading and quotation halts in over-the-counter ("OTC") equity securities; and (2) adopt IM-6660-1 to identify certain factors that NASD may consider in determining, in its discretion
