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
NASDR has filed with the SEC a proposed rule change that was effective on filing, to amend the Code of Arbitration Procedure to facilitate use of dispute resolution programs offered by providers other than self-regulatory organizations. The change became operative on May 17, 1999.
This is an unfair and undemocratic rule that may hurt smaller investors and their ability to invest and have a good long term return. This should not go through.
Dear FINRA, people should have the right to invest. It shouldn't be just for the rich people of this world
Please let the rules stay the same.
Pursuant to FINRA Rule Filing SR-FINRA-2015-23, dated June 29, 2015, effective Monday, July 13, 2015, FINRA will delete Rule 4553, “Fees for ATS Data,” in its entirety.
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/
Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
Background information about FINRA Contact System (FCS) and related Notices.
Please do not make any enhancements to current rules. The outcome will only limit retail investor access - allow the market to act independent.
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to postpone until February 2, 2015, the implementation date of the requirement that alternative trading systems ("ATSs") use unique market participant identifiers ("MPIDs") when reporting
