SR-FINRA-2009-029 - Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2009-027 - Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
SR-FINRA-2009-024 - Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-FINRA-2009-023 - Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook
SR-FINRA-2009-020 - Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
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
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
Effective with the SEC's approval on September 25, 1986, an amendment to the NASD Board of Governors' Free-Riding Interpretation provides limited exemption for certain persons purchasing "hot issue" securities in connection with the conversion to stock ownership of mutual savings and loan associations,
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments a proposed amendment to the Interpretation of the Board of Governors, Free-Riding and Withholding (Free-Riding Interpretation) 1/ that would provide members an alternative means of complying with the Interpretation for
SR-FINRA-2008-063 - Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook
SR-FINRA-2008-050 - Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program
