Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 to codify NASD's existing interpretive guidance relating to certain provisions of the rule and to make several non-substantive, technical changes to clarify the rule's intended meaning.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230 to reduce the period to report a transaction in a TRACE-eligible debt security from 75 minutes to 45 minutes. Rule 6230 is one of the Trade Reporting and Compliance Engine ("TRACE") rules.
SR-FINRA-2009-010 - Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities on a more frequent basis.
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
Fees Relating to the NASD Alternative Display Facility
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
