Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative – Investment Banking (“Series 79”) Examination Program
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 to Extend FINRA’s Authority Under the Cease and Desist Pilot Program
SR-FINRA-2009-030 - Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
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 amend New York Stock Exchange ("NYSE") Rule 409(f) to delete the requirement that certain confirmations and reports include
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2009-001 - Proposed Rule Change to Amend FINRA Rule 7470
