NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3010(b)(2), also known as the "Taping Rule," and NASD IM-8310-2. The proposed amendments to the Taping Rule generally would: (1) permit firms that become subject to the Taping Rule a one time opportunity to adjust their staffing levels to fall below the prescribed threshold levels and thus avoid
SEC Approval and Effective Date for New Consolidated FINRA Rules
Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan
Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
SR-FINRA-2009-017 - Proposed Rule Change to Adopt FINRA Rule 3250 (Designation of Accounts) in the Consolidated FINRA Rulebook
SR-FINRA-2008-055 - Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule
Mark-Up Rule and Exempted Securities
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
FINRA Rule 0150
FINRA Rule 2121
Suggested Routing
Compliance
Fixed Income
Legal
Operations
Systems
Trading
Key
