SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The NASD Board of Governors requests member comment on rule proposals developed by the Industry/Regulatory Council on Continuing Education (the Council). These proposals codify and expand the conceptual recommendations made by a special task force comprised entirely of industry
SR-FINRA-2009-002 - Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
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 Interpretative Material 9216 (IM-9216) (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) to clarify that a failure to timely file annual audit reports is eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP" or "the Plan").
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2, Trading Ahead of Customer Limit Order (commonly referred to as the "Manning Rule"), to codify NASD's existing position that the Manning Rule applies to all members, whether acting as a market maker or not.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to (i) amend Rule 7010(k)(3)(A)(i) to offer an optional enterprise-based flat fee for the internal display of real-time TRACE transaction data ("
SEC Approves Consolidated FINRA Best Execution Rule
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Financial Industry Regulatory Authority, Inc. ("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 adopt NASD Rule 2790 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) as FINRA Rule 5130 in the consolidated FINRA rulebook, with only minor changes.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to exempt additional persons from the scope of the rules, modify current
