Displaying 3411 - 3420 of 28153 Results
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 1, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article HI, Section 27 of the NASD Rules of Fair Practice that would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction" (OSJ)
In observance of Martin Luther King Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 16, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
Please let individual investors be able to invest in proshares
I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a
As previously announced, FINRA will enhance the aggregated reports and statistics for U.S. Treasury securities. The new implementation date for the enhancement is February 13, 2023. At that time the following enhancements will take place:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on February 14, 2023, for the week ending
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
I, not the regulator, should be able to choose public investments, and it should be available to all of the public, not the special privileged few in a democracy.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 14, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the definitions of "branch office" and "office of supervisory jurisdiction." Under the proposed amendments, any office at which certain specified functions take place would be defined as an office of supervisory
Summary
As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices.
This alert provides firms and associated persons with measures they may use to help strengthen their cybersecurity controls in