SEC Approves Amendments Regarding Best Execution and Interpositioning
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 5100 to allow members to use, for a transitional period only, the Nasdaq Exchange best (inside) bid rather than the national best (inside) bid for purposes of application of the rule. Pursuant to SR-NASD-2005-087, Rule 5100 will become effective on the
GUIDANCE
Predispute Arbitration Agreements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Books and Records
Predispute Arbitration Agreements
Rule 3110
Executive Summary
NASD Rule 3110(f) governs a member's use of predispute arbitration
agreements with customers. The Securities and Exchange
Commission (SEC) has approved
NASD has filed with the SEC a proposed rule change to amend NASD IM-10104, Rule 10306, and Rule 10319 of the NASD Code of Arbitration Procedure to impose a fee on parties of $100 per arbitrator and to compensate arbitrators in the event a hearing is adjourned within three business days before a scheduled hearing session.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2220 (Options Communications with the Public) to reflect current options communications practices and promote consistency across the options communications rules of other self-regulatory organizations ("SROs").This rule filing was withdrawn and
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to 1) amend Rule 6230 to initiate a two-year pilot program exempting certain TRACE-eligible securities from reporting requirements that otherwise would apply, and 2) amend Rule 6210 and 6230 to reflect the registration of the Nasdaq Stock Market, Inc. as a national
SR-FINRA-2009-002 - Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
SEC Approves Consolidated FINRA Best Execution Rule
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Summary
FINRA is issuing this Notice to inform members that it is discontinuing collection of data under Rule 4540. The data collected under Rule 4540 is used in the Integrated National Surveillance and Information Technology Enhancements program (INSITE). The decision to discontinue the collection of data under Rule 4540 at this time is based on the availability of alternative sources of data
