SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved rules1 submitted
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
SR-FINRA-2009-004 - Proposed Rule Change To Amend Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceOptionsTrading
Executive Summary
Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds
SR-FINRA-2008-018 - Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations
SR-FINRA-2008-017 - Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
NASD Imposes $200 Fee for Form 211 Applications
On January 2, 1992, the SEC approved a proposed rule change by the NASD relating to a fee for Form 211 applications filed with the NASD pursuant to Schedule H, Section 4 of the NASD By-Laws. The rule change is effective immediately and, as a result, a $200 filing fee will be required together with each Form 211 application received on or after
SR-FINRA-2008-011 - Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
(a) Confirmations or Comparisons
(1) Each party to the transaction shall send a written "when, as and if issued" or "when as and if distributed" confirmation or comparison in the same form as set forth in the Sample Form appearing in Supplementary Material .01 of this Rule and pursuant to the requirements of Rules 11210(a), 11220, and 11860.
(2) Each confirmation or
