Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
ACTION REQUIREDMail VoteLast Voting Date: May 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementNASD By-LawsExecutive SummaryNASD invites members to vote to approve amendments to the NASD By-Laws that will: eliminate two seats on the NASD Board of Governors (NASD Board) that are currently reserved for representatives of the American Stock
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Treatment of Non-Margin Eligible Equity Securities
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
GUIDANCE
Amendments to Rule 6740
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Form 211
Rule 6740
SEC Rule 15c2-11
Executive Summary
On March 27, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 6740 relating to submission
of SEC Rule 15c2-11 information to
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Obligation to Provide Timely, Complete and Accurate Information on Form U5
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
