The Financial Industry Regulatory Authority ("FINRA") (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Discovery Guide to update the Document Production Lists.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 9216 to expand FINRA's Minor Rule Violation Plan ("MRVP") to include violations of options position and exercise limits and contrary exercise advice procedures.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt the following NASD Rules (which are part of the existing FINRA rulebook) as FINRA Rules in the new consolidated FINRA rulebook: the 4000 through 10000 Series and the 12000 through 14000 Series.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD Interpretive Material 1013-1 ("IM-1013-1") to address the applicability of the consolidated FINRA rules to member firms of the New York Stock Exchange ("NYSE") that became members of FINRA pursuant to the membership waive-in process set forth in IM-1013-1.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend certain NYSE Rules to reduce regulatory duplication and relieve firms that are members of both FINRA and the NYSE ("Dual Members") of conflicting or unnecessary regulatory burdens in the interim period before a consolidated FINRA rulebook is completed.
SR-FINRA-2007-006 - Proposed Rule Change Regarding Historic TRACE Data
FINRA (f/k/a National Association of Securities Dealers, Inc. or "NASD") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 11870 (Customer Account Transfer Contracts) and New York Stock Exchange ("NYSE") Rule 412 (Customer Account Transfer Contracts) to make the time frames in the rules
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 1021 and 1031 to permit members to maintain the registrations of those persons whose association with such members is for bona fide business purposes, provided that such
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 4632C and 6130C relating to the NASD/NSX Trade Reporting Facility to reflect certain changes in the facility's functionality and to conform, to the extent practicable, to
FINRA (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860 to extend a pilot program until March 1, 2008 increasing position and exercise limits for both standardized and conventional options.
