Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
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Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities
Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
BACKGROUND AND EXPLANATION
Part VI, Sec. 7(b) of Schedule D to the NASD By-Laws permits excused withdrawals based on demonstrated legal or regulatory requirements when supported by appropriate documentation.
In order
Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
