SR-FINRA-2008-035 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the
Series 14 and Series 16 Examinations
Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and
Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
GUIDANCE
Expungement
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system)
Customer Dispute Information
Dispute Resolution
Expungement
Rule 2110
Rule 2130
Executive Summary
On
Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
