Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
Dear FINRA, as a European citizen and not professionally or directly involved in the US market if not as a retail investor, I don't know how qualified or entitled I am to write to you, but seeing that you make an effort to hear our opinion, and since we can only appreciate this action hoping in constructive and effective changes in the future of the world market, here it goes: I am aware
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The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
Trade Date—Settlement Date
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Holiday Trade Date-SettlementDate Schedule
Martin Luther King, Jr., Day:Trade Date—Settlement Date Schedule
The NASDAQ Stock Market® and the securities exchanges will be closed on Monday, January 20, 2003, in
INFORMATIONAL
OTC Equity Securities
Effective Date: October 30, 2002
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Legal & Compliance
Operations
Senior Management
Trading
NASD Rule 2315
OTC Equity Securities
Executive Summary
On August 22, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2315, Recommendations to Customers in OTC Equity Securities (
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
INFORMATIONAL
Trade Date — Settlement Date
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KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be
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Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1990-91 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
Comments: I strongly support the provision of detailed, useful information about the structure, and past and anticipated future performance of leveraged ETFs, but very much object to limits or prohibitions of individuals' freedom to perform leveraged ETF trades, or to hold onto trades as mid-to long-term investments, especially where a leveraged ETF has a long, documented positive
