Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate
Executive Summary
The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
Proposed Rule Change to Revise the Series 24 Examination Program
Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2009-026 - Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
SR-FINRA-2007-024 - Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
SR-FINRA-2009-015 - Proposed Rule Change to Adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to Establish Procedures to Expedite the Administration of Promissory Note Cases
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
