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.
In most cases, you must start taking required minimum distributions (RMDs) from your retirement accounts each year once you reach age 73. IRS rules require that you take withdrawals from individual retirement accounts (IRAs) and employer-sponsored retirement plans to avoid costly penalties. Be sure you understand the requirements about RMD.
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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7620A to eliminate the per-transaction fee for late reports and corrective transactions that is currently imposed on non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq
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 Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
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.
Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
