FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
<p>NASD Rule 3010(a)(7) - Annual Compliance Meeting</p>
Additional Guidance on FINRA’s New Suitability Rule
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
IM-6660-1NASD Rule 6660OTC
Equity SecuritiesQuotationsTrading Halts
OTC Equity Trade and Quote Halt Codes
Executive Summary
On December 18, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 6660 to expand the scope of NASD's authority
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 8 of Schedule A to NASD's By-Laws to increase the service charge for processing extension requests to $4.00 per request.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Executive Summary
On February 5, 1997, in Release No. 34-38245 (Release), the Securities and Exchange Commission(SEC) amended its broker/dealer record retention rule to allow broker/dealers to employ, under certain
Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to toll the two-year expiration provisions for qualification examination requirements set forth in Rules 1021(c), 1031(c), and 1041(c) for certain former registered persons serving in the Armed Forces of the United States, including persons who
This list of Frequently Asked Questions covers topics such as Rights of Accumulation (ROA) and Letters of Intent (LOI), as well as resources to help you educate your clients.
