TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
In Notice to Members 87-25, dated April 14, 1987, the NASD requested comments and suggestions on the concept of a rule that would restrict broker-dealers affiliated with issuers from making markets or trading in the securities of those issuers.
The NASD's request was the result of concerns as to whether conflicts of
Any rule that keeps me from purchasing something that doesn't harm anyone is not in line with a free people
What are the safeguards in place with regards to Quantum computing / changes in encryption - QRC and AI threats that are growing in the cyber security space. Where do you see the future of technology before we automate everything from currencies to regulation rules.
The sale of a call option and purchase of a put option with the same expiration date and strike price provides equivalent exposure to the price of a stock as a short sale. Despite this equivalence, this synthetic position does not currently create a short position that would be reportable under the current version of Rule 4560. The extent of use of this and other types of synthetic short
Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
In order to achieve a true “ free market” system, retail traders must be provided with total transparency. There are seemingly endless ways for institutions and hedge funds to have the advantage, whether it be access to data, rule loopholes, or seemingly smoke and mirror processes. SSR is a total fabrication, as there are countless ways to achieve shorting while the ruling is in place. It is
This rule is obviously meant to hurt the little guy. If this passes, your corrupt intentions will be obvious to all. Sad!!
This rule is absolutely horrible and continues to kneecap the small investor, and rig the market in favor of the wealthy. This must not pass.
Last Voting Date: August 29, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws to prepare for a planned new numbering scheme for the NASD Manual; to correct certain minor errors found in the By-Laws; and to provide for Board approval of future spelling and numbering changes. The
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The membership is requested to vote on an amendment to a Rule of Fair Practice that the membership voted to approve last year (Notice to Members 89-20). The
