NASD has filed with the SEC a proposed rule change to amend: (1) Rule 6250 to provide for the dissemination of transaction information on additional Investment Grade TRACE-eligible securities under the Rule 6200 Series (also known as the Trade Reporting and Compliance Engine ("TRACE") Rules); (2) Rule 6230 and Rule 9610(a) to provide NASD staff the authority to grant exemptive relief
Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
FINRA member firms should be aware of a technique threat actors use to avoid network defenders detecting the required communications of malware. On April 3, 2025, the Cybersecurity and Infrastructure Security Agency (CISA), National Security Agency (NSA), Federal Bureau of Investigation (FBI), Australian Signals Directorate’s Australian Cyber Security Centre (ASD’s ACSC), Canadian Centre for Cyber Security (CCCS) and New Zealand National Cyber Security Centre (NCSC-NZ) issued a joint cybersecurity advisory (CSA) to warn organizations of the ongoing threat of one such technique: fast flux.
Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
SR-FINRA-2009-023 - Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook
SR-FINRA-2007-006 - Proposed Rule Change Regarding Historic TRACE Data
NASD has filed with the SEC a proposed rule change to: (1) amend Section 4 of Schedule A to the NASD By-Laws to re-label a subparagraph that inadvertently was not correctly re-labeled as part of a recent rule filing, and (2) amend Rule 10308(d) of the NASD Code of Arbitration Procedure to provide a title for recently approved rule language and to replace and re-label rule language that
NASDR has filed with the SEC a proposed rule change to amend Rule 2820 (the "Variable Contracts Rule") and Rule 2830 (the "Investment Company Rule") of the Conduct Rules of the National Association of Securities Dealers, Inc. The Investment Company Rule would be amended to: (1) provide maximum aggregate sales charge limits for fund of funds arrangements; (2) permit mutual
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to correct a typographical error in NASD Rule 2520 (Margin Requirements). In particular, the proposed rule change would amend NASD Rule 2520 to re-label a subparagraph that was incorrectly identified as part of a recent rule filing.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend paragraph (L) of NASD Rule 3010(b)(2) ("Taping Rule" or "Rule") to (1) require member firms that are seeking an exemption from the Rule to submit their exemption requests to NASD within 30 days of receiving notice from NASD or obtaining actual
