SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Registered Representatives
Research
Executive Summary
On June 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2210 (Communications with the Public) that permit the approval of research reports by a
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
New Rate for Fees Paid Under Section 31 of the Exchange Act
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Staff interpretation of the continuing commissions policy codified in NASD IM-2420.
Small Firm Advisory Board Runoff Election
Mid-Year Rate Adjustment for Fees Paid Under Section 31 of the Exchange Act
GUIDANCE
Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Operations
Extension of Time Requests
NASD Rule 3160
Regulation T
SEC Rule 15c3-3
Executive Summary
On September 15, 2006, the Securities and Exchange Commission (SEC) approved new NASD Rule 3160 that requires: (1) all
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
