Comment Period Expires November 27, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® is requesting member comment on a proposed change to the NASD By-Law definition of Gross Revenue for NASD Assessment Purposes to require inclusion of net interest and dividend income (gross income less related interest and dividend expense but not in excess
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of January 7, 2019 (Tier 1) and the week of December 24, 2018 (Tier 2). The issue has now been resolved and all files and data have been published.
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529 Plans
Regulatory Notice
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Legal
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Referenced Rules & Notices
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
August 22, 2003Firms have several options now available to them for the transmission of OATS data, which must be transmitted electronically to NASD by 4:00 a.m. the morning after a particular market day. There are currently four reporting mechanisms as detailed below. Firms are responsible for reporting in a timely manner and for monitoring and repairing rejections.Private Network - Firms may
