Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
Five-Day Period for Replies to Responses to Motions in Arbitration
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
Section 1 of Schedule A to NASD By-Laws
Trading Activity Fee
Executive Summary
On October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the
SummaryFINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2
I believe that most people who do choose to invest in these funds are aware of the risks and do their own homework before they start investing. While I do believe that offering education on the risks, as well as risk mitigation strategies, would be beneficial for traders, I do not believe that extra layers of bureaucracy and testing will create better or safer traders, and will simply reduce the
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to (1) adopt NASD Rule 2710, without material change except for paragraphs (b)(10) and (11), as a FINRA rule in the consolidated FINRA rulebook; and (2) clarify and streamline the notice and other requirements in FINRA rules relating to Regulation M under the Act.
Today in the United States, nearly 40 million people are age 65 and older. This number is expected to more than double to 89 million by 2050.
SUGGESTED ROUTING*
Internal AuditMunicipalOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Christmas Day and New Year's Day
Securities markets and the NASDAQ System will be closed on Monday, December 26, 1988 and Monday, January 2, 1989 in observance of Christmas Day and New Year's Day respectively. "Regular-way"
ACTION REQUESTED
Taping Rule
Comment Period Expires: July 25, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Public Disclosure Program
Rule 3010
Supervision
Taping Rule
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule
