Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities
Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6740 to (1) relieve members of the obligation to file with NASD copies of certain information that is electronically accessible through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system; and (2) exclude from
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 2711 regarding a member’s disclosure and supervisory review obligations when it distributes or makes available third-party research reports.
This rule filing was withdrawn.
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Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1050 to create an exemption from the Research Analyst Qualification Examination (Series 86 and 87) for certain research analysts employed by foreign affiliates of a member who contribute to the preparation of a member's research reports.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 1013 to eliminate the requirement that new member applicants include in their membership applications signed, paper Forms U4 for each associated person who is required to be registered under NASD Rules and, instead, to require new member applicants to file these Forms U4 electronically. The proposed rule change also amends Rule
SR-FINRA-2009-009 - Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
