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)
Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses)
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
The Joint NASD/Industry Task Force recommended two changes to mutual fund confirmations that are intended to help investors determine whether they received all the breakpoints discounts to which they were entitled on each mutual fund transaction.
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD is publishing Suggested Escrow Agreement Provisions and Suggested Language for Selected Dealer Agreements to assist members and their counsel in complying with SEC Rule 15c2-4.
BACKGROUND AND SUMMARY
Through its review of public offerings of securities conducted by the Corporate Financing Department, the NASD has the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 12214(c) through (e) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rule 13214(c) through (e) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code” and together
The FINRA Board of Governors will consider the following rulemaking item at its February 2011 meeting. FINRA is publishing this information to provide additional transparency in the rulemaking process. After the February 3 meeting, FINRA will notify firms via email about the Board's action on this item and anticipated next steps, if any.
Third-Party Service Providers
The Board will
FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
