INFORMATIONAL
Nasdaq National Market Execution System
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Trading & Market Making
Nasdaq National Market Execution System
SelectNet
Small Order Execution System
Trading
Executive Summary
On January 14, 2000, the Securities and
REQUEST FOR COMMENT
Sales Contests and Non-Cash Compensation
Comment Period Expires August 5, 2005
SUGGESTED ROUTING
KEY TOPICS
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Sales Contests
Non-Cash Compensation
Executive Summary
NASD currently
Effective: Immediately
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
On October 22, 1997, the Securities and Exchange Commission (SEC or Commission) approved an NASD Regulation, Inc. (NASD RegulationSM) proposed amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 2320 (Three
(a) Request for Oral Argument
A Party may request oral argument before the Subcommittee or, if applicable, the Extended Proceeding Committee. Oral argument shall be requested in writing either in the Party's notice of appeal or cross-appeal or within 15 days after service of the National Adjudicatory Council's notice of review. Subject to the limitations of Rules 9342 and 9344, oral
SUGGESTED ROUTING
Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
The Member Firms' Nexus to Crypto topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. But there are legitimate ways to attempt recovery. In most cases you can do so on your own—at little or no cost.
For Your Information
National Association of Securities Dealers, Inc.
June 1989
Test Date and Site Changes for June and July Examinations Announced
July First Saturday Date Change
The first Saturday exam session date for July has been changed to July 8, 1989, for all test centers because of the Independence Day holiday that falls after the first weekend of the month.
Requests for
Dear Regulators and to whom it may concern.
Owning and managing leveraged funds like pro shares ETFs since 2007, I understand how they work and react with market trends and am fully aware of any risks, as it is explicitly explained with no discretion from those companies and by the nature of those types of ETFs. I should be able to chose if I buy them or sell them as a regular investor, with no
To All Regulators, Regarding FINRA Regulatory Notice #22-08, I want to state that I am fully capable of choosing the public investments that are right for my family and myself. All public investments should be available to all people, not just the privileged few. I should not have to go through any special process in order to invest in certain public securities. I fully understand the risks
