TO: All NASD Members and NASDAQ Subscribers
We are pleased to announce that the NASD is now offering a new NASDAQ data service. Subscribers to this service may receive copies of the Monthly Statistical Report (MSR) for all or a select group of NASDAQ issues on either an annual subscription or single-month order basis. Each MSR includes daily, weekly and monthly price, volume and market maker
I have previously submitted my thoughts but want to take a minute to reiterate them. Leveraged and inverse funds play a very important role in my personal investments along with our corporate investment strategy for clients. When used by professionals, for clients who understand them, they are very useful tools for actually reducing risk and enhancing returns. This should be left to the free
I am a retail investor, and have a small part of my IRA accounts that I manage myself, while placing the bulk of the funds into index funds and the like. However, I believe that I should have the right and access to all the same financial instruments that professional investors do for the portion that I manage myself. From time to time, I use leveraged and inverse funds. This are risky and
(a) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member knows or should have known of the existence of any of the following:
(1) the member or an associated person of the member:
(A) has been found to have violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct
GUIDANCE
OATS Reporting Requirements
Effective Date: May 8, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 69506957
Executive Summary
On September 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to Rules 6950 through 6957
Retail investors are losing faith in the market. I urge you to take action to regularly disclose all short positions, whether genuine or synthetic (through married options, for example) on a weekly basis. This will allow individual investors to make more informed decisions about which companies they should invest their money in and will resolve the question of whether bad actors are using illegal
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On February 15, 1994, the Securities and Exchange Commission (SEC) asked the NASD to alert its members to a possible fraud involving cancelled General Motors Corporation common stock certificates. The certificates involved were issued prior to January 1, 1984.
Background
According to
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
Each registration category has a default base qualification exam. Starting in January 2023, if a registration category was obtained by a passing alternate qualification exam, a “Credit” for the default base exam(s) is added to the individual’s exam information in their CRD record. This information is viewable in their FINRA Gateway profile as well as the Qualifications area in FinPro.
 
