The Neutral Corner, Volume 6—2008
(a) Compliance with Quoting and Trading Restrictions
(1) Member Compliance
Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan.
(2) FINRA Compliance
FINRA systems will not display quotations in violation of the Plan and this Rule.
(3) Pilot Securities That Drop
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 21, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws. In pertinent part, the proposed rule amendments would:
(1) prohibit a firm that withdraws, on an unexcused
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
SUGGESTED ROUTING*
Senior Management MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On August 1, 1990, the United States District Court for the District of Colorado appointed a SIPC trustee for:
Blinder, Robinson & Company, Inc.6455 South Yosemite StreetEnglewood, Colorado 80111.
Members may use the "immediate close-
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On June 22, 1990, the United States District Court for the Northern District of Ohio appointed a SIPC trustee for:
First Ohio Securities CompanyTwo Park Plaza1111 Chester AvenueCleveland, OH 44114.
Members may use the "immediate close-out"
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On February 28, 1989, the United States District Court for the Eastern District of New York appointed a Temporary Receiver for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in
<p>Applicability of NASD rules to a member's use of a translator for group retirement plan enrollment presentations.</p>
I am deeply disturbed by the proposed regulation limiting access to leveraged and inverse ETFs (which are publicly-traded securities) to those with high net worth who pass a specialized regulatory exam and then jump through a series of administrative and timing-related hoops.
Leveraged and inverse ETFs are one of the few methods that the little guy has in order to protect his or her investments
