NASD has filed with the SEC a proposed rule change to amend NASD Rule 2711 to correct certain language that was inadvertently included in NASD Rule 2711 when it was submitted for Commission approval.
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
NASD has filed with the SEC a proposed rule change to create a new rule series, the proposed Rule 9550 Series, to consolidate, clarify and streamline those existing procedural rules that have an expedited proceeding component.
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(CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment.This filing has been withdrawn.
TRACE Reporting Timeframes and Transparency Protocols1Type of TRACE-Eligible SecurityOther Transactions - Reporting TimeframesList or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting TimeframeTransparency2Corporate Bond (see FINRA Rule 6710(a))Within 15 minutes of time of execution (see
Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports
INFORMATIONAL
Sunset Of Large And Complex Cases Rule
Effective Date: December 31, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Large and Complex Cases
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules that revise Rule
Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
NASDR is filing with the SEC a proposed rule change to adopt new NASD Rule 2315, which requires members to review current issuer information prior to recommending a transaction to a customer in an over-the-counter ("OTC") equity security. Additionally, the proposed rule change would amend NASD Rule 6740 to permit members to submit a certification to the Association that states that the
