FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
NASD Rules 6130, 6130A, 6130C, 6130D and 6130E
NASD Rules 4632, 4632A, 4632C, 4632D and 4632E
NTM 05-11
NTM 98-40
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Trading
Key Topic
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Private Placements and Public Offerings Subject to a Contingency
Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
INFORMATIONALAmendments to Section 4 of Schedule A to the NASD By-LawsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementForms U4 and U5Late FeesSection 4 of Schedule A to the NASD By-LawsExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 4 of Schedule A to the NASD By-Laws
