Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Executive Summary
To help members comply with the Free-Riding and Withholding Interpretation of the NASD Board of Governors (Free-Riding Interpretation), on May 13, 1996, the NASD will initiate a new regulatory service called "Compliance Desk." The NASD believes that Compliance Desk will give members timely notification of hot issues that are subject to NASD regulatory review, and
Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
SEC Approves Rule Change to Amend FINRA's Gross Income Assessment; Effective Date: January 1, 2008
Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065
Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
