NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 7 of Schedule A to the NASD By-Laws ("Section 7") to adjust fees for filing documents pursuant to Rule 2710 (Corporate Financing Rule – Underwriting Terms and Arrangements).
SEC Approves Consolidated FINRA Customer Order Protection Rule
NASD has filed with the SEC a proposed rule change to replace Rule 3210 and Rule 11830 with a new rule requiring that clearing firms make delivery, or take affirmative steps to make delivery, within 10 business days after settlement date for all short sale transactions. In addition, clearing firms would be required to document and report certain information to NASD within one business day of
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Proposed Rule Change to Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts
Disclosure of risks of day trading should be enough. The $25K limit during volatile mark-to-market accounting causing my $25K risk trading account to occasionally hit the minimum equity call even though I never trade outside the cash available in my trading account. The margin portion of my account is needed for trading more complex option strategies which limit my exposure. This rule
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
