Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
NASDR has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the effectiveness of the rule for six months.
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Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to exclude independently-prepared research reports from the filing requirements of Rule 2210.
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 7000A Series relating to transaction and quotation related fees applicable to activities in the NASD’s Alternative Display Facility ("ADF"). Pursuant to Section 19(b)(3)(A) of the Act and subparagraph (f) of Rule 19b-4 thereunder, the proposed rule change will become immediately effective upon Commission receipt
FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to take prompt steps to obtain physical possession or control of municipal security positions that are short more than 30 calendar days, and related supervisory failures.
NASD has filed with the SEC a proposed rule change to NASD Rule 2330(e) to clarify that members and their associated persons are prohibited from guaranteeing any customer against loss in connection with any securities transaction or in any securities account of such customer. In addition, NASD is proposing that associated persons obtain written authorization from their employing member firm and
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Supervision Frequently Asked Questions (FAQ)
Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
