SR-FINRA-2009-008 - Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312
INFORMATIONAL
Performance Fees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Rule 2330
Performance Fee Arrangements
Investment Advisers
Executive
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Proposed Rule Change to Revise the Series 23 Examination Program
Proposed Rule Change to Revise the Series 24 Examination Program
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to: (1) codify a staff interpretation that the non-cash compensation provisions set forth in NASD Rule 2820(g) apply to group variable contracts that are exempted securities; and (2) to enumerate those Rules of the Association and Interpretive Materials thereunder that apply to
NASD has filed with the SEC a proposed rule change to delay, until February 1, 2004, the implementation date of amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. that were established by SR-NASD-2003-55. On March 21, 2003, NASD filed SR-NASD-2003-55 to streamline the nomination and election processes governing NASD District
Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
On Friday, April 28, 2017, Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in 271 OTC equity securities at 09:30:00 a.m. E.T. pursuant to FINRA Rule 6440(a)(3) (Extraordinary Event Halt). All impacted securities have been resumed as of 2:55:00 p.m. E.T. and systems are operating normally.
FINRA determined to impose the temporary halt because technical
