Investors take risks of all types based on their own assessments. Regulators have no business deciding how this assessment should be carried out since it's a personal decision. Only the investor can make this decision based on their own knowledge and wisdom of market behavior and how each investment tool functions. This is another step to limiting investment options for the little guy
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Listed below are the 25 NASDAQ National Market System (NASDAQ/NMS) securities which have been selected as the first group of issues to trade in the Small Order Execution System (SOES) developed and operated by NASD Market Services, Inc. In SOES, agency orders of 500 shares or less received from public customers may be executed
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a
Summary
FINRA requests comment on a proposed pilot program to study changes to corporate bond block trade dissemination based on recommendations of the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC or Committee). Specifically, the proposed pilot is designed to study two primary changes recommended by the FIMSAC: an increase to the
This Report addresses several regulatory key topics for each of the four categories: (1) Firm Operations; (2) Communications and Sales; (3) Market Integrity; and (4) Financial Management. As described further in the “How to Use This Report” section below, the importance and relevance of the considerations, findings and effective practices in each of these areas will vary for each member firm.
In
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
FINRAs measures are at odds with Americas long-standing disclosure-based system, which gives investors and their advisors the freedom to make their own investment decisions.
Brokers and individual investors not regulators should be able to choose the investments that are right for their clients or themselves. Public securities should be accessible to all of the public, not just the privileged
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
