February 10, 2004
NASD member firms reporting to OATS are required under NASD Conduct Rule 3010 to maintain and enforce written supervisory procedures related to OATS.
NASD has published articles in the December 2000, February 2001 and January 2004 OATS Reports to provide guidance on what member firms should include in written supervisory procedures.
Member firms are still required to have
"Hello and good evening. I'd like to start by thanking you for being open to comments from retail traders. I am a retail trader from germany. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself
Hello and good morning/afternoon/evening. I'd like to start by thanking you for being open to comments from retail traders. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself so that I, as a young
Hello and good morning/afternoon/evening. I'd like to start by thanking you for being open to comments from retail traders. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself so that I, as a young
1. What is E-Bill and what can I do in E-Bill?
E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments, and view and pay FINRA invoices.
This is my first and most sincere comment to FINRA guidance and rulings Throughout my last few years of investing and last year of seriously understanding the markets -- there is no doubt in my mind that the framework of reporting and filling short positions on stocks is absolutely the most murky and shark infested water in the entire market. The reporting framework and the amount of loopholes
Hello FINRA, First, off thank you allowing public comment on the need to better regulate options and trades involving short positions and shorting instruments. Please let ask a simple question: If Failure to Delivers on the Threshold list can be satisfied with borrowed shares, who is the owner of the settled delivery? Why have a Threshold list at all if it is ignored when the settlement period is
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Publication Date: March 20, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3 Customer protection — reserves and custody of securities.Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Since December 1, 1990, Nasdaq market makers that are also market makers in the Small Order Execution System (SOES) have been required to display sizes in their quotations equal to or greater than the SOES tier
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article VI, Sections 3 and 4 of the By-Laws to provide for the suspension or cancelation of the registration of an associated person in the event