Notice of Annual Meeting of FINRA Firms and Proxy
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
On March 29, 2019, the data collection requirements under the National Market System (NMS) Plan to implement a Tick Size Pilot Program (Tick Size Pilot) will come to an end. As a result, the Pilot Securities File and Change File will no longer be produced on a daily basis. At the conclusion of the pilot, a blank Tick Size Pilot Securities file will be produced, and the Change File will be updated
Notice of SFAB Election
and Ballots
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
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
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
