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
SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Operations
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments to the financial responsibility requirements established under the Government Securities Act of 1986. The amendments raise the minimum capital requirements for all government securities broker/
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
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
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
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
SEC REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed rule that would restrict the
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
</p>
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022.
