Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Key Topics
Continuing Membership
Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
The first Annual Meeting of the Financial Industry Regulatory Authority (FINRA) members will be October 26, 2007.
The formal notice of the meeting, including the time and location, will be mailed on or about September 21, 2007. The individuals nominated by the former NASD Board of Governors and/or the Board of Directors of NYSE Group, Inc. for election to the FINRA Board of Governors (FINRA
ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsSenior Management
Short Interest Reporting
Intermarket Surveillance Group
Executive Summary
This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
<p>Use of third parties to aid in compliance with NASD Rule 2790(b).</p>
<p>Application of Rule 2320(g) and Rule 3110(b) to quotations displayed in the Electronic Quotation Service (prior to the adoption of proposed Rule 6630).</p>
Private Placements and Public Offerings Subject to a Contingency
Notice of SFAB Election and Ballots
Request for Interpretive Guidance Under NASD Rule 2711
Nominees for FINRA Board of Governors
