Request for Exemption from the Provisions of NASD Conduct Rule 2710
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
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
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
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 to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)
Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On May 19, 1995, the Securities and Exchange Commission (SEC) approved an expansion of the Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits a member firm from trading ahead of customers' limit orders in a firm's
SUGGESTED ROUTING
Senior ManagementInstitutionalInternal AuditLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on
