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)
(a) Call for Review
(1) Rule 9268 Decision
A decision issued pursuant to Rule 9268 may be subject to a call for review by any member of the National Adjudicatory Council or, pursuant to authority delegated from the National Adjudicatory Council, by any member of the Review Subcommittee. A decision issued pursuant to Rule 9268 shall be subject to a call for review within 45 days after the date
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)
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
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 Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
Trade Reporting Notice - 8/14/08 - Trade Reporting Frequently Asked Questions
