GUIDANCE
Minor Rule Violation Plan
Effective Date: November 14, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
IM-9216
Rule 9216(b)
Minor Rule Violation Plan (MRVP)
Executive Summary
On August 18, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Interpretive Material 9216-2
(IM-9216-2
Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the provisions of FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials) relating to seeking reimbursement from issuers for forwarding proxy and other materials and to make minor conforming revisions
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6540(c) to exclude from the access fee display requirements access fees below a specified level.
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
FINRA Rule 2360(b)(2) provides that “[t]he position and exercise limits for FLEX Equity Options for members that are not also members of the exchange on which FLEX Equity Options trade shall be the same as the position and exercise limits as applicable to members of the exchange on which such FLEX Equity Options are traded.”
Changes to an exchange rule regarding FLEX Equity Options position and
Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
SEC Approval and Effective Date for New Consolidated FINRA Rule
INFORMATIONAL
Interval Funds
Effective Date: June 20, 2000
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Mutual Fund
Registered Representatives
Mutual Funds
NASD Rule 2710
NASD Rule 2830
Underwriting Compensation
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of Securities Dealers
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
