SR-FINRA-2008-044 - Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters
Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: (1) amend NASD Rule 3110(f)(2)(B) to conform to the SEC's recordkeeping rules by extending the time period for delivery of a copy of a customer account agreement containing a predispute arbitration clause from the time of signing to within 30 days of
SR-FINRA-2008-032 - Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index
Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the
Consolidated FINRA Rulebook
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Key Topics
Continuing Membership
SR-FINRA-2008-054 - Proposed Rule Change to Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2340 to eliminate outdated and unnecessary references to SEC Rule 15c3-1 under the Securities Exchange Act of 1934.
Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
NASD has filed with the SEC a proposed rule change a proposed rule change to amend NASD Rule 2260 to expand the definition of "designated investment adviser" to include all state registered investment advisers.
