I would like to see a more transparent market with instant short position reporting to the general public. I would also like to see instant reporting of any failure-to-delivers. I would like to know the volume from each market even the dark pools to understand the price change. I think this information should be public to any retail investor instantly and easily with no delays. I believe this
It amazes me that citadel can control market orders from Robin Hood. They can see real-time information and use it to control stock prices giving an unfair advantage to retailer investors! They can direct sell orders through the exchange but can place by orders through the dark pool! I strongly disagree that the dark pool should be eliminated but highly encourage all retailer investors’ orders go
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 24, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed new By-Law that would permit the NASD to require trade comparison reporting by members conducting' an inter-dealer OTC securities business, as intended when the Trade Acceptance and Reconciliation Service (TARS) began development in 1981.
The
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
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Web CRD
Web IARD
Executive Summary
The National Association of
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the
Read CEO Robert Cook’s email to firms describing outcomes from the December 2020 FINRA Board of Governors Meeting.
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." Effective December 23, 1997, OFAC updated its master list, adding the names
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
ACTION REQUESTED
Proposed Recordkeeping And Reporting Requirements Of Certain Quotations
Comment Period Expires: April 10, 2000
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Legal & Compliance
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OTC Securities
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Executive Summary
NASD Regulation, Inc. (NASD
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Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign
