NASD has filed with the SEC a proposed rule change to amend Rules 4300A and 4619A(g) to give jurisdiction to NASD’s Market Regulation Committee to review system outage determinations under Rule 4300A(f) and excused withdrawal denials under Rule 4619A, respectively. The proposed rule change would apply during the time that the NASD Alternative Display Facility operates on a pilot basis.
Proposed Rule Change to Implement a New Electronic Form 211
NASDR has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure of the NASD to extend the effectiveness of the rule for six months.
Retrospective Rule Review
Comment Period Expires: May 14, 2015
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SR-FINRA-2008-010 - Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief
NASDR has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure of the NASD to extend the effectiveness of the rule for six months.
Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination
