SEC Approves Amendments to FINRA Trade Reporting Rules
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
FINRA Entitlement User Account Certification
GUIDANCE
Margin Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Options
Operations
Senior Management
Margin Requirements
Options
Rule 2520
Rule 2522
Executive Summary
On April 3, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend NASD
FINRA Revises the Series 9/10 Examination Program
GUIDANCE
SUGGESTED ROUTINGKEY TOPICS
Internal AuditLegal & ComplianceOperationsSenior ManagementSystemsTrading
IM-2110-2Limit OrdersLimit Order ProtectionManning RuleRule 6541
Trading Ahead of Customer Limit Orders
Executive Summary
On February 26, 2007, the Securities and Exchange Commission (SEC) approved amendments to Interpretive Material (IM) 2110-2, Trading Ahead of Customer
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Operations
Trading
Market Making
Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC)
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
GUIDANCE
"New Issue" Rule
Effective Date: November 2, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Executive Representatives
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Business Development Company
Direct Participation Program
Foreign Investment Company
IPO Distribution Manager
IPOs
New Issue
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.
