Geetha Ramachandran has spent her entire career working in the technology industry, and she’s passionate about innovation and finding solutions to complex problems. At FINRA, she leads teams in building and delivering enterprise solutions with a focus on automation and development operations. In part one of the three-part series, Tech Journeys: Women in Technology & the Evolution of the Industry, Geetha gives us a snapshot of her personal technology journey and how she’s kept up with innovations.
Summary
In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S. Treasury securities that would require: (1) more granular
TRF Exchange Participants
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange
Public investments for The Public , should not be Regulated by any authority other than those Investors! The entire system is based on the investments of Public citizenry.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 2, 1986, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,687. These 30 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Public investments should be available to the public for investment. Caveat Emptor. Too often "professionals" are able to game the system to their advantage through regulation.
Public investments are part and party to the free market system of capitolism and needs to be left alone. It is wrong for congress to get involved and they are suppose to be neutral.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend Rules 4632E and 6130E relating to the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF") to change the system closing time from 6:30 p.m. to 8:00 p.m. (Eastern Time), which conforms with the system closing time of the NASD/Nasdaq Trade Reporting
While I fully understand the need to have informed investors by placing common investment vehicles such as ESG funds , CEFs, ETF etc. on the list only serves to limit investments from the "common citizen".
In addition artifical barriers such as " broker approval" and tests seem to tilt the landscape toward forcing individuals to use "advisors"
