While appreciative of the gesture, there must be action behind it. We are in a new era of retail investing and the rules still favor the Goliath's of wall street. Complete transparency and equality in the reporting of data must be enforced. Retail should have the same access to information, data and tools that hedge funds and market makers have access to. More importantly, ACCOUNTABILITY for
To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
As previously announced, FINRA will enhance the aggregated reports and statistics for U.S. Treasury securities. The new implementation date for the enhancement is February 13, 2023. At that time the following enhancements will take place:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on February 14, 2023, for the week ending
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice to Members 88-104 and 89-17, the NASD requires its members to respond to requests for trading data by using a standardized automated format. This format is
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretative Material 2210-4 ("IM-2110-4") to limit the use of FINRA's name and any other corporate name
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
Executive Summary
Beginning March 1, 1994, the NASD will assess an $85 surcharge on all initial and transfer Form U-4 filings that require a Special Registration Review (SRR) of information reportable on Page 3 of this Form.
Background
During 1993, the NASD Finance Committee formed the Rate Review
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-
The current state the US market is full of fraud and manipulation. There is definitely a need for change. It’s a massive conflict of interest when a company is a hedge fund and a market maker!! All shares, synthetic and short, needs to reported daily and posted for retail investors. The market makers/hedge funds have all the information in front of them to make their informed decision. Retail
