(a) Participation Requirements
(1) Only members of FINRA in good standing may participate in the FINRA/NYSE Trade Reporting Facility.
(2) Participation in the System shall be conditioned upon the initial and continuing compliance with the following requirements:
(A) execution of, and continuing compliance with, a Participant Application Agreement;
(B) membership in, or maintenance of an
SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1990, the following 30 issues joined NASDAQ/NMS, bringing the total number of issues to 2,647:
Symbol
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved two additional proposals to curb Small Order Execution System (SOES) abuse — expanding the definition of "day trading" and permitting a short period between
NASD Encloses New Guide to Information and Services
With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject.
Date Changes for January First Saturday Examination
The date for the January 1991 first Saturday
As an investor I have the authority to choose my own investments, make investment decisions and leverage these tools to protect my investments in a way I see fit. No regulator can speak for me or understand my priorities nor do they know what assets I own or the my strategy to protect my investments or trade in the markets. Regulators deciding what is a complex product is far too vague and it
Let me express my thought and feelings on the current issue: I, Takeshi Iida, not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged
This proposed regulation is nothing more than a violation of the right of the people to engage in lawful commerce. A free market economy needs to be a free market for all and not only the social or political elite. I should be able to decide when, where, and how I will manage my money and my investments.
The most disturbing thing about this proposed rule is the "cooling off"
