Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
NASD Rule 2210 - Communications with the Public
The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
INFORMATIONAL
Membership And Registration Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
Financial and
SR-FINRA-2008-056 - Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 5, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,052:
Symbol*
Company
Location
CPBI
The Variable Annuities section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 21, 1987, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,850. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
