Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay the effective date of certain FINRA rule changes approved in SR-NASD-2004-183 until August 4, 2008.
Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of July 12, 1989, the following 16 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
