Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook
REQUEST FOR COMMENT
Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Institutional
Legal and Compliance
Retail
Senior Management
Training
Business Entertainment
Commercial Bribery
Gifts and Gratuities
Rule 3060
Executive Summary
NASD is proposing
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
GUIDANCE AND REQUEST FOR COMMENT
Regulatory Transaction Fees
Comment Period Expires March 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Regulatory Transaction Fees
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice
Proposed Rule Change to Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry
