Regulatory Relief
PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated, including the NYSE rules referenced in this Notice. The incorporated NYSE Rules apply solely to members of FINRA that are also members of NYSE on or after July 30, 2007, referred to as "Dual Members." Dual Members also must comply with NASD Rules.
FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
INFORMATIONAL
Regulatory Fees
Implementation Date: October 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Senior Management
NASD By-Laws
Regulatory Fee
Executive Summary
As announced in Notice to Members 02-41, NASD has amended Section 8 of Schedule A to the NASD By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee
Upcoming Election to Fill FINRA District Committee Vacancies
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
SEC Approves Consolidated FINRA Best Execution Rule
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
