SR-FINRA-2009-004 - Proposed Rule Change To Amend Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities
Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
NASDR has filed with the SEC a proposed rule change to amend Rules 9269 and 9360 of the National Association of Securities Dealers, Inc. to eliminate the requirement for personal service of decisions in cases involving bars and expulsions. NASD Regulation is also filing, concurrently, related proposed rule changes in File No. SR-NASD-1998-057.
Please review SR-NASD-1998-057 for:
Amendment No
Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Shelf Offering Amendments
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
Proposed Rule Change to Amend NASD Rule 2370
NASD has filed with the SEC a proposed rule change to amend Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central Registration Depository ("CRD") continuing education ("CE") Regulatory Element e-mails. The proposed rule change further would require that each member quarterly review and update the CE contact person(s
NASDR has filed with the SEC a proposed rule change to amend Rules 10201 and 10202, and to add new Rule 3080 and new Rule Series 10210 of the NASD to enhance the dispute resolution process for the handling of employment discrimination disputes, and to expand disclosure to employees concerning the arbitration of all disputes.
