Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to postpone the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Proposed Rule Change Relating to Alternative Display Facility New Entrant
Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2008-012 - Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface (“CTCI”) as a Technological Option for TRACE Reporting
