SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 to codify NASD's existing interpretive guidance relating to certain provisions of the rule and to make several non-substantive, technical changes to clarify the rule's intended meaning.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230 to reduce the period to report a transaction in a TRACE-eligible debt security from 75 minutes to 45 minutes. Rule 6230 is one of the Trade Reporting and Compliance Engine ("TRACE") rules.
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
SR-FINRA-2009-010 - Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
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 FINRA's NYSE Rule 342.13 (Acceptability of Supervisors) to eliminate the requirement that the General Securities Principal Examination ("Series 24 Examination") be passed
Fees Relating to the NASD Alternative Display Facility
