Proposed Rule Filing Relating to Simplified Arbitration
Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend: (1) Section 8.2 (Position Limits and Large Trader Reporting) of the Security Futures Risk Disclosure Statement (“2018 Statement” or “Statement”) to reflect the higher position limits for security futures contracts and changes to the
Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registration Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.
District 10 (New York)
