SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Guidance on Social Networking Websites and Business Communications
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination; Effective Date: April 7, 2008
SEC Approves Amendments to Rules Governing Communications With the Public
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Summary
FINRA has established a new Supplemental Liquidity Schedule (SLS).1 The new SLS, which members subject to the requirement will need to file as a supplement to the FOCUS Report, is designed to improve FINRA’s ability to monitor for events that signal an adverse change in the liquidity risk of the members with the largest customer and counterparty exposures. FINRA is issuing this
Summary
FINRA is requesting comment on potential enhancements to its short sale reporting program. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Executive Representative
Legal & Compliance
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Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
INFORMATIONAL
Conduct Of Business Abroad
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Legal & Compliance
Operations
Registration
Senior Management
Business Abroad
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
