FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
FINRA member firms should be aware of a technique threat actors use to avoid network defenders detecting the required communications of malware. On April 3, 2025, the Cybersecurity and Infrastructure Security Agency (CISA), National Security Agency (NSA), Federal Bureau of Investigation (FBI), Australian Signals Directorate’s Australian Cyber Security Centre (ASD’s ACSC), Canadian Centre for Cyber Security (CCCS) and New Zealand National Cyber Security Centre (NCSC-NZ) issued a joint cybersecurity advisory (CSA) to warn organizations of the ongoing threat of one such technique: fast flux.
As a personal investor, I understand the risk and reward with leveraged products. In todays time, there is plenty of information available for someone to make an informed decision around suitability. They are not for everyone, but for those that understand the risk, they can be a great addition to their portfolio. There does not need to be regulation around self-directed investing.
Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Retail investors deserve proper and timely disclosure of information, the amount of Information that is misreported is incredibly misleading. Please do something about this broken system, institute changes that bring positive outlook to the future of the stock market, for all participants.
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
This request for exemptive relief is granted based on the Firm's representation that the individual did not engage in the solicitation of municipal securities business, as defined by MSRB Rule G-37, the imposition by the Firm of extensive Firm-wide information barriers on certain municipal securities business communications, prohibition of, for a specified period of time, the individual's solicitation of new municipal securities business, a Firm commitment to conduct training or re-training for all Firm MFPs and new hire MFPs, including an on-going annual educational effort, a review of existing Firm procedures and the development of necessary enhancements.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
information needs to be accurately and timely reported-- period. That information is lagging is a joke-- that people charge to provide this lagging information is shameful. There should be no platform one has over another. That there is-- is evidence money buys influence -- this is a country of laws.. unless it is in the financial world. The markets are a free for all for those that control,
INFORMATIONAL
District Elections
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Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
