NASDR has filed with the SEC a proposed rule change to NASD Interpretive Material 1000-4 to make a technical correction and an amendment to the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") to clarify NASD Regulation's authority to inspect the books and records of The Nasdaq Stock Market, Inc.
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to permit the approval of research reports by a supervisory analyst of the New York Stock Exchange to satisfy NASD requirements that research reports be approved by a registered principal.
(a) Definition — "Rights"
The term "rights" or "rights to subscribe," as used in this Rule is the privilege offered to holders of record of issued securities to subscribe (usually on a pro rata basis) for additional securities of the same class, of a different class, or of a different issuer as the case may be.
(b) Definition — "Warrants"
The
FINRA is reviewing the sale of structured products to investors. In connection with this review, we request the following information for the period of January 1, 2007 to May 31, 2009 (“the review period”).
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
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 appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both
Sec. 8.1 FINRA shall be the sole stockholder of the capital stock of FINRA Dispute Resolution.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.
Selected Notice: 10-32.
I would like to speak for all retail investors when I say the underhanded ways corporations are given to manipulate a stock are abhorrent. A pure disregard for what an "Open market" should be. I feel the only way the playing field can be leveled is to make all information available to us, and for entities such as yourselves to police matters harder with stiffer penalties. This is the
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
