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Executive Summary
In March 1998, the Securities and Exchange Commission (SEC) approved new National Associationof Securities Dealers, Inc. (NASD®) Rules 6950 through 6957 — the Order Audit Trail System (OATSSM
We need more transparency in the stock market. The market’s volatility doesnt match with the data we have at the end of the day we get information later than others and that is not true capitalism.
Board Approves Rule Proposals and FINRA’s 2022 Budget, Appoints SFAC and NAC Members
WASHINGTON – FINRA’s Board of Governors met on Dec. 1-2 in New York. During the meeting, it approved two rule proposals and FINRA’s 2022 budget, appointed members to the Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC), and received the results of recent SFAC and Regional Committee
I expect to have the freedom to invest my money in the public investments of my choice. I shouldn't need to go thru any special process or measures being suggested by FINRA. As a average investor I feel informed and aware enough on the risks of these investments as such and should not need to prove that to anyone.
There are already disclaimers set up at several brokerages regarding high risk investments such as leveraged funds. Fidelity had me sign one already because I changed my investment style . It is up to the individual to gain the knowledge one needs to make informed decisions, not the government .
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Comment Period Expires May 20, 2005
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NASD Rule 2210
Executive Summary
NASD is proposing to amend its advertising rules to
Short interest needs to be reported everyday, just like volume and institutional holdings this is vital information to prevent over shorting a stock or non compliant behavior that limits price discovery and normal market dynamics.
Each investment carries its own set of risks. The basis of the free market is the principle that investors must bare the consequences of their investments whether the results are beneficial or detrimental. Providing information of risks is a beneficial service, but trading restrictions could harm smart investors with limited resources.
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It's much more than an inconvenience—it can devastate your credit rating and derail financial security.