Request for Exemption from the Provisions of NASD Conduct Rule 2710
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education—Regulatory
Element Fees
Qualification Examination Fees
Rule 1120 (Continuing Education Requirements)
Schedule A to NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
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FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
NASD Notice of Meeting and Proxy
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $75.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $75.00 branch office system processing fee (where such fees have been assessed
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
