Displaying 6891 - 6900 of 9026 Results
Comment Period Expires October 15, 1995
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Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with the
" Publication of Short Interest for Exchange-listed Equity Securities" Why are firms are currently allowed to hold any unreported open short positions? In the OTC market, one firm's large short position could potentially destroy a company. " Content of Short Interest Data" The more data points you collect and publish, the better. A free and fair market means transparency
Executive Summary
On December 28, 1995, the National Association of Securities Dealers, Inc., (NASD) filed with the Securities and Exchange Commission (SEC) for its approval rules governing members conducting business on the premises of a financial institution (proposed rules). The proposed rules focus on issues of investor confusion involving the purchase of uninsured securities products and,
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 24, Thanksgiving Day; Monday, December 26, Christmas Day Observance; and Monday, January 2, 1984, New Year's Day Observance. "Regular Way" transactions made on the preceding business days will be subject to the
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TRACE to Serve as Centralized Source for Consistent, Timely, Accurate Security Information
WASHINGTON — FINRA today filed with the U.S. Securities and Exchange Commission a proposal to expand its collection and dissemination of new-issue reference data for corporate bonds. The proposal calls for FINRA’s TRACE (Trade Reporting and Compliance Engine) to serve as a centralized source for market
Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) Board of Directors approved initiatives at its June meeting to expand personal finance programs and services for adults and children, and particularly those in underserved communities.
The Board approved a $2 million, three-year renewal of the Smart investing@your library® initiative, including the continuation of an 11-year