Continuing Education Planning
View Trading Activity Fee Self-Reporting Form
Executive Summary
On July 28, 2003, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to establish a new rate for covered equity securities.1 NASD had been collecting the TAF and determined that the equity rate needed to be increased to ensure adequate funding levels for
April 2014 Supplement to the Security Futures Risk Disclosure Statement
FINRA’s NAC Revises the Sanction Guidelines
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
Continuing Education Planning
New Rate for Fees Paid Under Section 31 of the Exchange Act
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Continuing Education Planning
<p>Permissibility of electronic approval of accounts under NASD Rule 3110(c)(1)(C). (Note: Underlining indicates redactions from original letter).</p>
