TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
Customers who pursue civil remedies or arbitration claims against investment professionals cannot always recover on their judgments or awards. Customers encounter this challenge across the forums in which they may pursue action— whether state or federal court, a dispute resolution forum administered by a regulator, a private arbitration venue, or otherwise — and across the range of financial
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
Thank you for taking the time to address these issues. As a retail investor I believe short interest in all of its forms including Call/Put options should be publicly available. Much information is hidden from retail and this needs to change. I hope there is serious consideration for how offenders WILL try to overcome the spirit of these regulations. "Enhanced lending" "short
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
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KEY TOPICS
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Legal & Compliance
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Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD
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Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On March 22, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D, and Schedule G, to the By-Laws and to the Rules of Practice and Procedure for the Automated Confirmation Transaction (ACT) service rules to require members to input the time of execution on
Summary
Member firms often encourage registered representatives to have succession plans in place to plan for expected or unexpected life events. Succession planning can benefit customers, member firms and registered representatives. This Notice discusses these benefits, as well as common types of succession plans. This Notice also provides an overview of related FINRA rules and administrative
As a smaller investor (net worth <$1,000,000), I find that there is great value in being able to trade with a leveraged product. By using a leveraged product that does not require me to use personal margin, I can keep myself debt free, use a leveraged product, obtain the benefit of either rising or falling markets, and hedge long or short. I trade and focus on the S&P 500 only.
FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website. Closing all browser sessions and opening a new session will normally alleviate this problem.
Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the
GUIDANCE
Short Interest Reporting
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Internal Audit
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Operations
Registered Representatives
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NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the
