Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SummaryFINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise
Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding
Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products)
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
REQUEST FOR COMMENT
Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Institutional
Legal and Compliance
Retail
Senior Management
Training
Business Entertainment
Commercial Bribery
Gifts and Gratuities
Rule 3060
Executive Summary
NASD is proposing
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
