Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The second session of the 102nd Congress, which adjourned on October 9, 1992, passed only one major bill of direct interest to the securities industry, the Futures Trading Practices Act. Other proposed
Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Read the frequently asked questions for information on filling out each section of the SSOI.
Proposed Rule Change to Implement a New Electronic Form 211
Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved an amendment to Article 111, Section 35 of the NASD Rules of Fair Practice that establishes standards regarding the use
Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
