SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
ACTION REQUIREDMail VoteLast Voting Date: May 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementNASD By-LawsExecutive SummaryNASD invites members to vote to approve amendments to the NASD By-Laws that will: eliminate two seats on the NASD Board of Governors (NASD Board) that are currently reserved for representatives of the American Stock
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
SEC Approval and Effective Date for New Consolidated FINRA Rules
The following charges shall be paid by participants for the use of the Trade Reporting and Compliance Engine ("TRACE"):System FeesTransaction Reporting FeesData FeesLevel I Trade Report Only Web Browser Access — $20/month per user IDLevel II Full Service Web Browser Access — Subscription for a single user ID or the first user ID — $50/month (includes one Data Set); $80/month (includes
FINRA Survey to Create the Securities Trader Qualification Examination
INFORMATIONAL
Margin Disclosure and Day-Trading Risk Disclosure Statements
Effective Date: July 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Day-Trading Risk Disclosure
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
