NASD has filed with the SEC a proposed rule change to amend the NASD Rule 9600 Series to permit a Waiver Subcommittee of the National Adjudicatory Council ("NAC") to affirm, modify, or reverse a decision of NASD's Department of Member Regulation ("Department") denying a request for a waiver from a required qualifications examination pursuant to Rule 1070.
Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
On June 28, 2002, NASD filed with the SEC a rule change to establish November 6, 2002, as the effective date for certain provisions of NASD Rule 2711. This rule change was effective immediately upon filing. First, the rule change establishes, subject to certain conditions, November 6, 2002, as the effective date for Rules 2711(b) and (c) for members that over the previous three years, on average
GUIDANCE
Publication of National Adjudicatory
Council Membership Decisions
Pursuant to NASD Rule 1015
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Publication of NAC Membership
Decisions
Rule 1014
Rule 1017
Rule 1015
Executive Summary
On October 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to IM-8310-2
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.
Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
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 amend NASD Rule 1022 (Categories of Principal Registration), NASD Rule 2220 (Options Communications with the Public) and NASD Rule
Guidance on Rules Governing Communications With the Public
