A list of frequently asked questions related to UPC.
Personally, I feel the $25,000 threshold is too high and should be lowered ever so slightly. How about $20,000. Risk mitigation tools exist and it’s up to the trader to learn how to use them properly. The 90-Day PDT ban rule should be reinstated. There should be no reason the little guy has to be punished indefinitely for taking an extra trade once.
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SEC Approves Consolidated Telemarketing Rule
Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
NASD is filing with the Securities and Exchange Commission a proposed rule change to repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in light of the requirements of the SEC’s new short sale regulation, Regulation SHO under the Act. The SEC has indicated that it expects that Reg SHO provisions will supplant existing overlapping self-regulatory organization (SRO) rules.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rule 2710 of the Conduct Rules of the NASD (the "Corporate Financing Rule" or "Rule") to require that members submit information on public offerings of securities to the Corporate Financing Department of the NASD Regulation ("Department") through an electronic filing system.
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt NASD Rule 3013 and IM-3013 as a FINRA rule in the consolidated FINRA rulebook without material change and to delete the corresponding provisions in Incorporated NYSE Rule 342.30 and NYSE Rule Interpretations 311(b)(5)/04 through /05 and 342.30(d)/01 through (e)/01.
