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 FINRA's NYSE Rules 421 (Periodic Reports), 440F (Public Short Sale Transactions Effected on the Exchange) and 440G (
SR-FINRA-2007-024 - Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
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 establish January 14, 2008 as the final implementation date of the rule changes approved in SR-NASD-2005-146.
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 FINRA's NYSE Rule 342.13 (Acceptability of Supervisors) to eliminate the requirement that the General Securities Principal Examination ("Series 24 Examination") be passed
SR-FINRA-2007-021 - The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
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 Rule 2210 (Communications with the Public) to create an exception to Rule 2210’s registered principal approval requirements for intermediary firms that use the sales material of
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 the definition of "member organization" in FINRA's NYSE Rule 2(b) to reflect that FINRA membership is a condition of being an NYSE member organization. The proposed rule
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 disseminate all last sale reports of transactions in over-the-counter ("OTC") American Depositary Receipts ("ADRs") and Canadian issues immediately upon receipt of 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 its trade reporting rules to change the manner in which members are required to report odd-lot transactions to a FINRA Trade Reporting Facility ("TRF"), the Alternative Display
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 delete in their entirety the NASD Rule 4000D, 6000D and 7000D Series and the Limited Liability Company Agreement of The NASD/BSE Trade Reporting Facility LLC (the "NASD/BSE TRF LLC
