Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
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
Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. ("Nasdaq"), is filing with the Securities and Exchange Commission ("Commission") a proposed rule change to exempt all securities included in the NASDAQ 100 Index from the price test set forth in NASD Rule 5100 (formerly Rule 3350).
Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to repeal NASD Rule 6440(f) in light of proposed rule changes that have recently been approved by the Commission expanding market order protection and limit order protection to exchange-listed securities.
Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
