NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to exclude independently-prepared research reports from the filing requirements of Rule 2210.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) and Schedule A of the NASD By-laws ("Schedule A") to clarify that a failure to timely file Schedule I, pursuant to Exchange Act Rule 17a-10, is eligible for disposition under NASD’s
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt Interpretive Material ("IM") to NASD Rule 3060 to require members to adopt policies and procedures addressing business entertainment. This rule filing has been withdrawn.
Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6260(a) and (b) to require members to provide additional, descriptive information in the notice that is sent to NASD and identifies the basic terms of a new TRACE-eligible security (“new issue notification”), and to provide the information required in Rule 6250(b) to NASD by email or facsimile. Rule 6260 is one of the Trade
SR-FINRA-2009-014 - Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rule Book
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
FINRA Filing Requirements and Review of Regulation A Offerings
