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Comment Period Ends: Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories

The SEC requested comments on a proposal to amend NASD Rule 1032(f) (Limited Representative-Equity Trader) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57). In addition, the proposal amends NASD Rule 1022(a) (General Securities Principal) to establish a Securities Trader Principal registration category. The proposal also makes technical conforming changes to the Form U4 (Uniform Application for Securities Industry Registration or Transfer).

Comment Period Ends: FINRA Rule 3210 replacing NASD 3050

The SEC requests comment on a proposal to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) into the Consolidated FINRA Rulebook and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02. The proposed rule addresses accounts opened or established by associated persons … Continue reading Comment Period Ends: FINRA Rule 3210 replacing NASD 3050 →

Effective Date: Amendments to FINRA Rule 2340 Regarding DPP and Unlisted REIT Securities

The SEC amendments to NASD Rule 2340 (Customer Account Statements) become effective on April 11, 2016.  The amendments modify the requirements relating to the inclusion of per share  estimated values for direct participation program (DPP) and unlisted real  estate investment trust (REIT) securities on account statements, and to FINRA  Rule 2310 (Direct Participation Programs) to make corresponding … Continue reading Effective Date: Amendments to FINRA Rule 2340 Regarding DPP and Unlisted REIT Securities →

FINRA Requests Comment on the Application of Certain Rules to Government Securities

FINRA is requesting comment on the application of the following rules to government securities, including U.S. Treasury securities: FINRA Rules 2242 (Debt Research Analysts and Debt Research Reports); 5240 (Anti- Intimidation/Coordination); 5250 (Payments for Market Making); 5270 (Front Running of Block Transactions); 5280 (Trading Ahead of Research Reports); 5320 (Prohibition Against Trading Ahead of Customer … Continue reading FINRA Requests Comment on the Application of Certain Rules to Government Securities →

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