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
NASD Rule 2210 - Communications with the Public
SR-FINRA-2009-025 - Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE
A free market implies free trading with all available instruments. The limitations are a financial dictatorship. I will not trust a market that changes its rules every now and then in favor of some special interests and government convenience. You better focus on making the same rules for everyone and NOT make select categories with "special" rules
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 11900 (Clearance of Corporate Debt Securities) to except certain transactions in corporate debt securities.
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10301of the NASD Code of Arbitration Procedure to prohibit a firm that has been terminated, suspended, or barred from the NASD, or that is otherwise defunct, from enforcing a predispute arbitration agreement against a customer in the NASD arbitration forum.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System rules to 120 days after SEC approval of SR-NASD-00-23 (April 19, 2000), which also proposes changes to the OATS rules.
