Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On February 5, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the Automated Confirmation Transaction (ACTSM) Service rules (NASD® Rule 6130) to require all Market Makers to mark their ACT reports to denote when they have relied on the Market Maker exemption
Affirmative determination for short sales under NASD Rule 3370.<br/>
Equity Option Hedge Exemption
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position Limits
Executive
Dear Regulators, Thank you for the opportunity to comment on this proposed regulation. We didn’t choose unprecedented debt or rising inflation. It’s a matter of human rights to allow individuals to choose their positions in the market with intelligence, education, and any capital that could offset the problems that have been created for us. We are trading with depreciating dollars that have
REQUEST FOR COMMENT
Short Interest Reporting
Comment Period Expires November 29, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members and other interested parties on proposed changes to
Rule 3360, Short Interest Reporting.
Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004
GUIDANCE
Margin Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Options
Operations
Senior Management
Margin Requirements
Options
Rule 2520
Rule 2522
Executive Summary
On April 3, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend NASD
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make reported short sale trading data publicly available.
