Displaying 3451 - 3460 of 28153 Results
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury securities reported to TRACE for the prior week. The reports have been published since March 2020. On January 3, 2023, FINRA will enhance the reports as follows:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on January 4, 2023 for the week ending December
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of October 12, 1989, the following nine issues joined the NASDAQ National Market, bringing the total number of issues to 2,718:
Symbol
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
Leveraged funds are as much a part of the market as any other funds and to restrict trading from the public really is a slam on independent investors.
We should have access to the entire market, even more after hours where professionals trade and we do not have access.
Fait trading should really be fair trading. Currently it is not.
Leave leveraged funds alone.
(a) Recording and Reporting Industry Member Data
(1) Subject to paragraph (a)(3) below, each Industry Member shall record and electronically report to the Central Repository the following details for each order and each Reportable Event, as applicable ("Recorded Industry Member Data") in the manner prescribed by the Operating Committee pursuant to the CAT NMS Plan:
(A) for original
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a proposed new
There are plenty of disclaimers for investing in risky assets and instruments. Additional regulation is not required in this arena.
Dear FINRA -
I am in complete disagreement with FINRA's potential restrictions on "Complex Products." By undertaking these restrictions FINRA will be providing and enabling the "Wall Street" investment banks a better opportunity to take advantage of investors. This products provide investors the opportunity to hedge investment positions. Investments
Comment Period Expires November 7, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
On September 19, 1994, the Board of Governors approved issuance of a Notice to Members soliciting comment on proposals to expand the scope of limit-order protection beyond that presently afforded by member firms to their customers in The Nasdaq Stock
The United States if a free country. All regulatory agencies have a responsibility to protect our freedoms, not restrict them. All financial regulators have a responsibility to ensure investors are adequately informed, but they have no right to restrict our freedom to invest freely as we choose. By limiting access to investments, you limit innovation and also subject retail investors to the