SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On May 19, 1995, the Securities and Exchange Commission (SEC) approved an expansion of the Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits a member firm from trading ahead of customers' limit orders in a firm's
SUGGESTED ROUTING
Senior ManagementInstitutionalInternal AuditLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on
Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
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
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
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
