FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
CheckWire Payments Reflected In CRD Accounts
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
Executive Order Targeting Terrorists; Exams Now Offered In Singapore
INFORMATIONAL
Options Rule
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Trading & Market Making
Options
NASD Rule 2860
Executive Summary
On December 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860.1 The
FINRA is conducting an inquiry with respect to non-traded Business Development Companies (“BDCs”).
OTCE Historical Data Download Files
