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The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Beginning Jan.
SR-FINRA-2008-059 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
Heather Seidel is Chief Counsel in the Office of Regulatory Economics and Market Analysis. In this capacity, Ms. Seidel serves as a member of the leadership team, advising on policy formation and providing expert interpretative guidance on regulatory, policy and legal matters. She also works in partnership with colleagues in the Regulatory Operations departments, the Office of General Counsel and
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On April 17, 1991, the Department of Treasury issued 56 FR 15529-15532 containing proposed amendments to 17 CFR Part 403 ("Protection of Customer Securities and Balances"). The proposal would implement a buy-
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) from the Midwest and South Regions. The nominees, nominated for a
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 7, 1987, 37 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,847. These 37 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 6, 1986, 36 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,337. These 36 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SR-FINRA-2008-067 - Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
