NASD Rule 2210 - Communications with the Public
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer).
TO: All NASD Members and Other Interested Persons
On November 12, 1985, the Securities and Exchange Commission approved a new Article III, Section 40 of the NASD Rules of Fair Practice (SEC Release No. 34-22617). The rule establishes new requirements for the private securities transactions of persons associated with members, and entirely replaces the Private Securities Transactions
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
SR-FINRA-2009-025 - Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE
NASD Regulation, Inc., has filed with the SEC a proposed rule change expressly interpreting NASD Rule 2110 to prohibit members from interfering with a customer’s request to transfer his or her account in connection with the change in employment of the customer’s registered representative, provided that the account is not subject to any lien for monies owed by the customer or other bona fide claim
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
