The Neutral Corner - Volume 3—2023
Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
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 amend its rules to delete the three party trade report provisions from the NASD/NYSE TRF rules and to conform the two party trade
Comment Period Expires: July 15, 1997
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Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that
Proposed Rule Change to Revise the Series 6 Examination Program
SR-FINRA-2009-009 - Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
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 amend NASD Interpretative Material 2210-4 ("IM-2110-4") to limit the use of FINRA's name and any other corporate name
INFORMATIONALDo-Not-Call RegistryEffective Date: March 31, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrainingCold CallDo-Not-CallTelemarketingTelephone SolicitationEstablished Business RelationshipExecutive SummaryOn January 12, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD
Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is publishing interpretations of restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ These restrictions (hereinafter the "Venture Capital Restrictions") were added to the
