Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend an exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for certain research analysts employed by a member's
INFORMATIONAL
Taping Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3010
IM-8310-2
Taping Rule
Executive Summary
On August 28, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3010(b)(2), also known as the Taping Rule, and NASD
Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook
SR-FINRA-2008-042 - 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 codify FINRA's interpretation of the portfolio margin program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g) regarding (1) monitoring concentrated equity positions and (2) timing of day trading margin calls.
SUGGESTED ROUTING
Senior Management Corporate Finance Legal & Compliance Syndicate
Executive Summary
On May 10, 1994, the Securities and Exchange Commission (SEC) approved amendments to Schedule E to the NASD By-Laws (Schedule E) that require compliance with its provisions if a member participating in a distribution of a public offering of debt or equity securities has a conflict
SR-FINRA-2008-037 - Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions)
Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
