Summary
FINRA requests comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities—i.e., corporate bond trades where the dollar price of the trade is based on a spread to a benchmark U.S. Treasury security that was agreed upon at an earlier time on the same day. The proposed changes would provide for immediate transparency into the size
TO: All NASD Members
The SEC Release of December 18, 1984
On December 18, 1984, the Securities and Exchange Commission issued Release No. 34-21583; File No. S7-787, entitled "Designation of National Market System Securities." This Release confirms the decision taken by the Commission at an open meeting on November 16, to approve the following additional criteria for the voluntary
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice to require NASD
I'm 10-15 years from retirement as a senior business systems analyst for over 25 years, with an M.B.A. and B.S. Psychology (thus, understand stats, metrics, patterns, cause & effect), who's spent the past 5 years studying financial markets and investing research, primarily so that I can retire sooner or better, but also to better understand economics, markets and business.
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
Sec. 12.5 Any records maintained by FINRA Regulation in the regular course of business, including its stock ledger, books of account, and minute books, may be kept on, or be in the form of, magnetic tape, computer disk, or any other information storage device, provided that the records so kept can be converted into clearly legible form within a reasonable time.
Amended by SR-
Re: FINRA Ive Invested in the Markets for over 12yrs, Ive always appreciated the fact that I could Invest freely, make my own choices and decisions on what, where, Why & when I choose to Invest, Moreover, and based on the proliferation & numerous tools & Resources available to the Individual Retail Investor these days the case for the freedom of choice became even more
I not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
Re: FINRA Ive Invested in the Markets for over 12yrs, Ive always appreciated the fact that I could Invest freely, make my own choices and decisions on what, where, Why & when I choose to Invest, Moreover, and based on the proliferation & numerous tools & Resources available to the Individual Retail Investor these days the case for the freedom of choice became even more
