Proposed rule change to amend the Codes of Arbitration Procedure to increase arbitrator honoraria by increasing arbitration filing fees, member surcharges and process fees and hearing session fees
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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The SEC’s regular appropriation has been enacted and, effective January 25, 2008, the Section 31 rate applicable to securities transactions will decrease from $15.30 per million to $11.00 per million dollars.
Proposed Rule to Establish Fees for Funding Portals
Upcoming District Committee and District Nominating Committee Elections
TO: All NASD Members and NASDAQ Subscribers
The Securities and Exchange Commission has recently authorized the expansion of the number of securities eligible for trading by our members through the linkage between the Intermarket Trading System (ITS) and the Computer Assisted Execution System (CAES). This linkage was mandated by the Commission in its order dated April 21, 1981, the first phase of
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As of December 22, 1998, the following bonds were added to the Fixed
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to update cross-references and make other non-substantive changes within FINRA rules, primarily as the result of approval of new consolidated FINRA rules.
FINRA Requests Comment on TRACE Dissemination Issues
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
