Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
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 6730 (Transaction Reporting) to provide members additional time to report to the Transaction Reporting and Compliance Engine (“TRACE”) transactions in U.S. Treasury Securities executed to hedge a primary market transaction
Proposed Rule Change to amend FINRA Rule 6730 (Transaction Reporting) to Provide a Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On September 9, 1998,
NASD has filed with the SEC a proposed rule change to amend Rule 10304 of the NASD Code of Arbitration Procedure relating to time limits on the submission of claims in arbitration.
INFORMATIONAL
FOCUS Reporting
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Internal Audit
Legal & Compliance
Operations
Senior Management
Financial Accounting Standards Board
FOCUS Reports
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
SR-FINRA-2008-050 - Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program
