SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Executive Summary
As announced in Notice to Members 02-41 and Special Notice to Members 02-63, NASD has amended Section 8(a) of Schedule A to NASD's By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee which funds NASD's member regulatory activities.1
Questions/Further Information
Questions concerning this Notice
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
ACTION REQUESTED
Rule Modernization Project
Response Period Expires on: March 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Annual Compliance Conference
Branch Office
Upcoming Election to Fill FINRA District Committee Vacancies
<p>Applicability of Rule 3230 to a three-party clearing agreement.</p>
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council) includes 13 members representing a cross section of securities firms and six members from self-regulatory organizations.1 Both the Securities and Exchange Commission
