IMPORTANT
Officers * Partners * Proprietors Operations and P&S Department Managers
TO: ALL NASD Members
In its Notice to Members 84-55 dated October 15, 1984, the Association announced plans to implement a NASDAQ Equity Audit Trail and detailed the seven phases to be followed for completion of the plan. As described in that notice, Phase I involves the collection of additional
I do not want to sound uneducated or stupid, but I think that there a lot of shady dealings going on in the stock market and I'm afraid that this will effect my portfolio. Please make all short positions be reported. Do we need dark pools? yes! but I wanna see that information too. We all want a free and fair market. I'm not here to be a financial patsy, for crying out loud gas is like
The manipulation in the market is obvious. Details come out every day that point toward market manipulation. Information has been released on previous manipulation that led to the recession in 2008 and it is obvious that no lessons were learned from that crash. Money makers are only concerned with creating enough profit through manipulation to pad themselves during these economic downturns.
The unbelievable amount of market manipulation is astonishing! It’s really laughable because the government allows blatant illegal practices unchecked until they’re required to cover. All information should be made public because ultimately it’ll strengthen the economy because people will consider it fair! It’s sad a company that’s trying to get off foot is constantly able to get beaten into
INFORMATIONAL
Statutory Disqualification
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Eligibility and Qualification Standards
Statutory Disqualification
Rule 9520 Series
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has commenced an initiative to make publicly available the text of statutory disqualification decisions (
FINRA should immediately move to require daily short interest reports. More and better information will allow for better price discovery, which is the whole point of markets. FINRA should also consider making rules that punish those who commit FTDs (Failure to Deliver). Market Makers should have their naked short selling exemptions removed or severely limited. Finally, FINRA should move to
Hello, I will keep my comment brief. I am a $XXX,XXX.XX retail investor that humbly supports any and proposed measures to improve transparency and data accuracy for retail investors. While the term “free market” is a farce, I do believe we should have a fair market which currently we do not. Institutional shorting data is horribly unreported given the 2 week delay in reporting in addition to its
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Monday, June 19, 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 may send out
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: April 9, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article IV, Sections 3 and 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice. The amendments to the By-Laws would codify certain internal procedures presently employed by the NASD in processing terminations
