Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to enhance the collection and dissemination of new issue reference data for corporate bonds and charge associated fees.
See also SR-FINRA-2021-007 (Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s
ROUTE TO
Senior Management
Institutional
Legal & Compliance
Operations
Options
Trading
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a proposed amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of
GUIDANCENon-Payment of Arbitration AwardsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal and ComplianceSenior ManagementNASD By-LawsNon-Payment of Arbitration AwardsExecutive SummaryThe Securities and Exchange Commission (SEC) has approved two amendments to the NASD By-Laws that further strengthen NASD's ability to prevent formerly associated persons from re-entering the securities
NASDR has filed with the SEC a proposed rule change to NASD Rule 1015, which eliminates procedures for members of the National Adjudicatory Council to call for review membership decisions until June 1, 1999.
Low-priced securities are often known as “microcap stocks” or “penny stocks.” While these securities can be legitimate investments, they’re also high-risk and should be approached with caution by the average investor.
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official (as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
GUIDANCE
Short Sale Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Operations
Trading
ACT Reporting Requirements
IM-6130
Rule 3350
Rule 6130
Short Sale Reporting Requirements
Executive Summary
On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ),
Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
Summary
FINRA Rule 4111 (Restricted Firm Obligations) became effective on January 1, 2022. This Notice announces that the first “Evaluation Date” for Rule 4111 will be June 1, 2022.
Questions concerning this Notice should be directed to:
Kosha Dalal, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6903 or by email; or
Michael Garawski,
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
