Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Options
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc. (NASD RegulationSM) is establishing an interpretation that National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3) options position limits apply with respect to options transactions that are intermediated
FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to take prompt steps to obtain physical possession or control of municipal security positions that are short more than 30 calendar days, and related supervisory failures.
Supervision Frequently Asked Questions (FAQ)
Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) and Schedule A of the NASD By-laws ("Schedule A") to clarify that a failure to timely file Schedule I, pursuant to Exchange Act Rule 17a-10, is eligible for disposition under NASD’s
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
NASD has filed with the SEC a proposed rule change to amend Rule 2130 to correct a typographical error in Rule 2130(c) by changing "Uniform Application for Securities Industry Registration of Transfer" to "Uniform Application for Securities Industry Registration or Transfer."
