Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
TO: All NASD Members and Other Interested Persons
On March 17, 1986, several amendments to SEC Rule 10b-10, the customer confirmation rule, will become effective. The amendments will require broker-dealers to report on customer confirmations trade prices and mark-ups and mark-downs in principal transactions in reported securities. "Reported securities" include NASDAQ National Market
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
SEC Approves Amendments to Rule 8210
