Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)
Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
Remarks From the SIFMA Complex Product Forum
Proposed Rule Change to Adopt FINRA Rule 3310 Anti-Money Laundering Compliance Program in the Consolidated FINRA Rulebook
NASD has filed with the SEC a proposed rule change to amend Rules 10308 and 10312 of the NASD Code of Arbitration Procedure to further ensure that individuals with significant ties to the securities industry may not serve as public arbitrators in NASD arbitrations.
SR-FINRA-2009-022 - Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
BACKGROUND
On November 18, 1983, the Securities and Exchange Commission issued Release No. 34-20397 announcing the adoption of Rule 15c2-2 (the "Rule") under the Securities Exchange Act of 1934 (the "Act") (17 CFR Part 240). Rule 15c2-2 prohibits broker-dealers from using mandatory arbitration clauses in
Rule 2220 was intended to apply only to standardized options; therefore, advertisements, educational material and sales literature regarding conventional options need not be submitted to the Department for pre-use review and approval. However, advertisements, educational material and sales literature regarding conventional options remain subject to the general standards in both Rules 2210 and 2220 that prohibit untrue, false or misleading statements.
Comment Period Expires: January 15, 1999
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Training
NASD Regulation Request For Comment 98-101
Executive Summary
NASD Regulation, Inc. (NASD Regulation SM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and
