NASD is filing with the Securities and Exchange Commission a proposed rule change to repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in light of the requirements of the SEC’s new short sale regulation, Regulation SHO under the Act. The SEC has indicated that it expects that Reg SHO provisions will supplant existing overlapping self-regulatory organization (SRO) rules.
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt NASD Rule 3013 and IM-3013 as a FINRA rule in the consolidated FINRA rulebook without material change and to delete the corresponding provisions in Incorporated NYSE Rule 342.30 and NYSE Rule Interpretations 311(b)(5)/04 through /05 and 342.30(d)/01 through (e)/01.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment.This filing has been withdrawn.
This rule filing was withdrawn and was replaced with SR-NASD-2004-130.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 2320(g) (the “Three Quote Rule”) and the corresponding recordkeeping requirements under Rule 3110(b)(2), to: (1) exclude from the Three Quote Rule’s coverage transactions in foreign securities effected by an NASD member as agent or
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt FINRA Rule 6191 and amend Rule 7440 to implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Plan).
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6250 of the Trade Reporting and Compliance Engine ("TRACE") rules to disseminate immediately upon receipt transaction information on TRACE-eligible securities, except transactions effected pursuant to Rule 144A under the Securities Act of 1933
Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
SEC Approval and Effective Date for New Consolidated FINRA Rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) for the period from July 16, 2024 through December 31, 2024. These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”) and referred to as “CAT Fee 2024-1.”
