Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
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Senior Management
Legal & Compliance
Registered Representatives
Executive Summary
On May 26, 1998, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 9514 authorizing hearing officers from the NASD Regulation, Inc. (NASD RegulationSM) Office of Hearing Officers to
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Senior Management
Executive Representatives
Legal & Compliance
Registration
Trading
Training
Executive Summary
On April 1, 1998, NASD Regulation, Inc., implemented amendments to the National Association of Securities Dealers, Inc. (NASD®) Registration Rules
Proposed rule change to amend the definition of "person associated with a member" in the By-Laws of the NASD, NASD Regulation, Inc. (“NASD Regulation”) and The Nasdaq Stock Market, Inc. (“Nasdaq”)
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Senior Management
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Registered Representatives
Research
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Executive Summary
Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the
Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
NASDR has filed with the SEC a proposed rule change to amend the Form U-4, the Uniform Application for Securities Industry Registration or Transfer, and the Form U-5, the Uniform Termination Notice for Securities Industry Termination.
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Senior Management
Legal & Compliance
Operations
Systems
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Executive Summary
In light of the recent approval of the new and increased listing standards for The Nasdaq Stock MarketSM (Nasdaq®), the Securities and Exchange Commission (SEC) has again provided an exemption from the filing requirements of SEC Rule 15c2-11 for certain securities
