FINRA-2008-013 - Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses)
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 13, 1990, the following 35 issues joined NASDAQ/NMS, bringing the total number of issues to 2,641:
Symbol
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
SR-FINRA-2007-024 - Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend an exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for certain research analysts employed by a member's
GUIDANCE
Mutual Fund Performance Sales Material
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Investment Companies
Legal & Compliance
Mutual Funds
Registered Representatives
Senior Management
Mutual Fund Performance Advertising
Fees and Expenses
Rule 2210
Rule 2211
Executive Summary
On July 5, 2006, the Securities and Exchange Commission (SEC)
