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WASHINGTON, D.C.— While the economic fallout caused by COVID-19 has led to a significant rise in tips, complaints and referrals involving investment scams, new research from the FINRA Investor Education Foundation (FINRA Foundation) and the Center for Economic and Social Research (CESR) provides evidence that repeated exposure to concise, online educational interventions can reduce susceptibility
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 16, 1987, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,940. These 23 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
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
I oppose restrictions on the public's ability to invest in complex products for numerous reasons.
1. The definition of a complex investment is vague, arbitrary, and subject to administrative change in the future. This can cause a new risk for investors who may hold these products now but may be restricted from them in the future, forcing them to sell the products.
2. Being a complex
1. How do I register for the Financial Professional Gateway (FinPro)?
Use the following steps to register:
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
Lawyers
Effective March 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Executive Summary
Some of the self-regulatory organizations (SROs) comprising the Intermarket Surveillance Group (ISG) agreed to adopt policies to ensure uniform reporting of all short interest in traded securities. The NASD has amended Article III, Section 41 of the NASD Rules of Fair
This filing has been withdrawn.
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (“Nasdaq”), is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to exempt from NASD Rule 3350, the short sale rule, sales in Nasdaq National Market (“NNM”) securities reported to the Nasdaq Market Center trade reporting service comprising the “riskless” portion of a
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 13, 1988, the following four issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,887