Minor Rule Violation Plan
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD IM-9216
NASD Rule 9216
NYSE Rule 476A
SEC Rule 19d-1(c)(2)
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Key Topic(s)Minor Rule Violation Plan (MRVP)
Executive Summary
Effective September 24, 2007, the list of violations eligible for
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
INFORMATIONAL
NASD Board Of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001. The formal notice of the
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale.
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
