SR-FINRA-2008-068 - Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Web IARD
Executive Summary
The 2002 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®)
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to incorporate certain rules of New York Stock Exchange LLC (“NYSE”) relating to the regulation of member firm conduct (the “Incorporated NYSE Rules”). The Incorporated NYSE Rules will apply solely to members of the Financial Industry Regulatory Authority, Inc. (“FINRA”) that also are members
SR-FINRA-2008-063 - Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook
Tuesday, March 29
All times are listed in Eastern Time
8:30 a.m. – 4:30 p.m. Registration and Cybersecurity Solutions & Cloud Computing Exhibitors
8:30 a.m. – 10:00 a.m.  
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Proposed Rule Change to Revise the Series 16 Examination Program
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its specifications.
