Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
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 Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
GUIDANCE
Supervisory Controls
Effective Date: February 14, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Rule 3012 (Supervisory Control Systems)
Executive Summary
On November 18, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD
SR-FINRA-2007-024 - Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2008-061 - Proposed Rule Change to Adopt IM-2110-5 (Anti-Intimidation/Coordination) as FINRA Rule 5240 in the Consolidated FINRA Rulebook Without Material Change
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
