This un levels the playing field so large wealth and insiders can get the largest reward on new and yet untested investment opportunities. To have wealth, is to always have an advantage for more wealth. This is unfair and difficult for minimally wealthy investors to have a similar chance at getting the best returns for getting in early. This effort is on the surface to keep small investors
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 9, 1993. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
April 1
8
13
2
12
14
5
13
As part of our mission to protect investors and safeguard market integrity, FINRA monitors and assesses FINRA-registered firms and their registered representatives through our Examination and Risk Monitoring programs.How We Do our WorkOur Exam and Risk Monitoring programs are a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of
(a) Members shall, as required by the rules and regulations of jurisdictions imposing taxes on sales, purchases or other transfers of securities, furnish tax stamps or pay the tax through securities clearing organizations.
(b) In the event that taxes are due pursuant to state stock transfer taxes, the seller shall furnish to the buyer at the time of delivery a sale memorandum ticket to which
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
On July 28, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that deals with clearance and settlement requirements applicable to NASD member firms functioning as market makers in The Nasdaq Stock Market™ (Nasdaq) or the OTC Bulletin Board Service (OTCBB®).
Executive Summary
As announced in Notice to Members 02-41 and Special Notice to Members 02-63, NASD has amended Section 8(a) of Schedule A to NASD's By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee which funds NASD's member regulatory activities.1
Questions/Further Information
Questions concerning this Notice
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is January 30, 1984
Enclosed herewith are proposed amendments to Article III, Section 19 of the Rules of Fair Practice and the Explanation thereto. These amendments have been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, they must
I’m just a small time retail investor and I know my opinion doesn’t matter… I’d just like to see maybe more regulation on the dark pool. You have market makers like citadel and many others not just them that also have hedge funds groups, they take trades and stash them in the dark pool. How could we allow the dark pool to have more volume then the actual market? Where do we draw the line in the
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Thursday, November 23, in observance of Thanksgiving Day. "Regular way" transactions made on the business days rioted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg
