FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: January 16, 2009
Member ceasing to offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to an affiliated broker-dealer.
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 a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
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
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
