Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
TO: All NASD Members and Other Interested Persons
On March 17, 1986, several amendments to SEC Rule 10b-10, the customer confirmation rule, will become effective. The amendments will require broker-dealers to report on customer confirmations trade prices and mark-ups and mark-downs in principal transactions in reported securities. "Reported securities" include NASDAQ National Market
Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook
Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
GUIDANCE
Amendments to Rule 6740
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Form 211
Rule 6740
SEC Rule 15c2-11
Executive Summary
On March 27, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 6740 relating to submission
of SEC Rule 15c2-11 information to
A list of frequently asked questions related to UPC.
Prohibited Independent Research in the Age of Artificial Intelligence: Don’t Do It, by Jennifer LaMont, Regional Manager, FINRA Southeast Region and other news.
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
