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In the interest of transparency and fairness to the market. I believe it is important to have regular and accurate information keeping and disclosure to encourage retail market participants into the market. Professional firms already have fast, accurate and bespoke trading software and information systems that provide them with a massive advantage in accurately determining price inefficiencies
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text of the
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Communications with the Public
Investment Banking
Research AnalystsRule 2711
Executive Summary
NASD has filed for immediate effectiveness a proposed rule change
to codify certain interpretations under Rule
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Exemptive relief is granted based on representations that: although the MFP/MAP is deemed to be such by virtue of her appointment to the Firm’s Management Committee, she is not involved in the Firm’s municipal securities or municipal advisory business; although the MFP/MAP signed the $25 contribution check, she represents that the contribution was actually her husband’s and was motivated by his desire to support female political candidates, as evidenced by a pattern of small contributions to other female candidates; the MFP/MAP’s husband is not employed by the Firm or any of its affiliates; the MFP/MAP has obtained a refund of the contribution; and the Firm identified the contribution through its supervisory processes and has put additional processes in place to ensure the MFP/MAP will not be involved in municipal securities or municipal advisory business for two years from the date of the contribution.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to add a new section to Part I of Schedule C to the NASD By-Laws that
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Municipal
Syndicate
Trading
Training
Executive Summary
On November 10, 1994, the Securities and Exchange Commission (SEC) adopted amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Act) that prohibit broker/dealers from underwriting and recommending municipal securities for which adequate
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities Dealers, Inc,(NASD)
The Monthly Short Sale Transaction Files provide detailed trade activity of all short sale trades executed and reported to a FINRA <a href="/filing-reporting/trade-reporting-facility-trf">Trade Reporting Facility (TRF)</a> or FINRA’s <a href="/filing-reporting/alternative-display-facililty-adf">Alternative Display Facility (ADF)</a> during normal market hours as well as after-hours. The Short Sale Files include only trades reported to a TRF or ADF for public dissemination purposes (i.e., media-reported trades).