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In Notice to Members 94-09, published in February 1994, the NASD announced Securities and Exchange Commission (SEC) approval of a new Section 46 of Article HI of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any
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To Whom it May Concern: I am writing in opposition to SEC Proposed Rule #S7-24-15 which would place unduly burdensome restrictions on persons wishing to invest in leveraged an inverse funds. This rule would require passing a test, showing high net worth, "cooling off" periods and other impediments that would do nothing to address the risk that regulators perceive in these investments.
Sec. 12.5 Any records maintained by FINRA Regulation in the regular course of business, including its stock ledger, books of account, and minute books, may be kept on, or be in the form of, magnetic tape, computer disk, or any other information storage device, provided that the records so kept can be converted into clearly legible form within a reasonable time.
Amended by SR-
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
NASD Encloses New Guide to Information and Services
With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject.
Date Changes for January First Saturday Examination
The date for the January 1991 first Saturday
Improved reporting for short positions is long overdue. As proven by the research done on "meme stocks" like GME and AMC there are a wide variety of ways for institutions to hide their short positions from others. Some of these include shorting of ETFs, using married puts and other options plays and simply lying with willingness to accept a small fine. The market overall needs more
I am losing faith each day the actions by irresponsible parties continue to be ignored. T+2 isn’t concerning until the individual demands it. My broker as with many others are left scrambling looking for my shares in a corrupt market. 21-19 would be a critical step in the right direction. Investors need clarity and clear communication on the short interest side of heavily shorted stocks. I
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
TO: All NASD Members
LAST DATE FOR COMMENT: APRIL 28, 1985
The National Association of Securities Dealers, Inc., is requesting comment on proposed rule amendments which would require that companies with securities included in the NASDAQ National Market System (NASDAQ/NMS) adhere to certain standards of corporate governance. This notice contains a discussion of the background of these rules and a
