Displaying 2121 - 2130 of 9026 Results
INFORMATIONAL
Notices to Members
SUGGESTED ROUTING
KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per monthly or special
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6740 to (1) relieve members of the obligation to file with NASD copies of certain information that is electronically accessible through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system; and (2) exclude from
/**/
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes
13100. Definitions
13101. Applicability of Code and Incorporation by Reference
13102. National Arbitration and Mediation Committee
13103. Director of FINRA Dispute Resolution Services
13104. Effect of Arbitration on
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 5, 1986, 52 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,505. These 52 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rules 2320(g) and 3110(b) to: (1) require that members executing a customer order in a non-Nasdaq security contact and obtain quotations from three dealers (or all dealers if three or less) to determine the best inter-dealer market for the security, unless two or more
WASHINGTON – The FINRA Board of Governors has appointed Deborah Bailey and Kathryn Ruemmler as new Governors. Bailey will serve as a public member, and Ruemmler as an industry member.
Bailey is the former Managing Director with KPMG's Financial Services Regulatory Practice, where she served as the U.S. and Global Leader for Regulatory Solutions Development. Prior to joining KPMG, she spent
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for options
By Bill St. Louis, Executive Vice President and Head of FINRA EnforcementFINRA Enforcement works on the front lines of investor protection. This blog post discusses some of the key objectives that drive this critical work.First, some brief background about FINRA and the role Enforcement plays as part of a multi-faceted regulatory program.FINRA helps ensure that everyone can participate in the
Individual investors should be permitted to trade leveraged and Reverse ETF. One does not need to have a large amount of capital to have intelligence and the ability to understand and use these investment vehicles. Special tests or other special requirements should not exist which would limit individual investors access to these vehicles. and, under no circumstances should access be cut at the
I am not in the investment industry, nor have I ever been. I have worked hard for my money all my life and believe it belongs to me, and I should be able to invest it as I see fit without some bureaucrat in DC telling me I'm too stupid to handle my own affairs.
If these public investments are so dangerous that they need to be reserved only to the "rich big shots" then