NASD has filed with the SEC a proposed rule change to amend NASD Rule 11870 to make the procedures for non-standard transfers of customer account assets through the Automated Customer Account Transfer Service ("ACATS") consistent with the procedures for transferring security account assets in their entirety unless the customer authorizes alternative instructions to transfer specifically
FINRA Rule 2360(b)(3)(B) provides that "...no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee therof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such
Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (“OSJ”) and the classification of a location that
This filing was withdrawn and replaced by SR-NASD-2006-109
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 10316 and to adopt Rule 10408 of the NASD Code of Arbitration Procedure (“Code”) to address attorney representation in arbitration and mediation.
Atlanta, GA
July 12, 2018
Agenda
8:00 a.m. – 8:30 a.m.
Registration
Continental Breakfast
8:30 a.m. – 8:45 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 11:00 a.m.
Session 1 – Supervision
Discuss highlights of the consolidated supervision rules
Discuss FINRA Rule 3110, including
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to create a new rule, proposed NASD Rule 2821, that includes recommendation requirements (including a suitability obligation), principal review and approval requirements, and supervisory and training requirements tailored specifically to transactions in deferred variable annuities.
NASD has filed with the SEC a proposed rule change to establish on a pilot basis new Rule 4400A, which would give NASD the authority to receive and review complaints against NASD Alternative Display Facility (“ADF”) market participants that allege denial of direct or indirect access required pursuant to Rule 4300A.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3210 (Short Sale Delivery Requirements) in light of the amendments to Rule 203 of Regulation SHO under the Act.
NASD has filed with the SEC a proposed rule change to: (1) amend Rule 6210(a) to clarify certain terms used in the definition, “TRACE-eligible security”; (2) amend NASD Rule 6230(e)(2) to expand the trade reporting exemption to qualifying transactions in any TRACE-eligible security that is listed and quoted on the Nasdaq Stock Market, Inc.(“Nasdaq”); and (3) make conforming amendments to the
