Good morning, Mr. Chairman, Senator Gramm, Members of the Committee. On behalf of the NASD, I want to thank the Committee for this opportunity to testify – and to commend you for holding a timely hearing on a vital subject.
NASD has filed with the SEC a proposed rule change to adopt Rule 2130 governing the expungement of customer dispute information from the Central Registration Depository (CRD® or CRD system) and various internal guidelines to be adopted by NASD regarding the handling of requests to expunge customer dispute information from the CRD system.
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
TO: All NASD Members
ATTENTION: Trading DepartmentsBranch Office Trading Locations
On April 1, 1982, the NASD announced the commencement of real-time transaction reporting under Schedule D of the Association's By-Laws for certain NASDAQ securities that have been designated National Market System (NMS) securities. Since inception, the Association has been monitoring transaction reporting in
Robert A. Renner is Senior Vice President, Enterprise & Financial Solutions. In this capacity, he is responsible for overall direction and oversight of FINRA’s accounting operations functions, including Revenue Management, Corporate Tax, Procurement and Payroll, as well as Corporate Real Estate, Physical Security and Information Operations, encompassing fingerprinting, entitlement and
I am against any and all regulations being considered by the Financial Industry that will rob or regulate a persons right to invest at any level. Everyone deserves the right we the people deserve to be able to buy cryptocurrency funds such as BITO, and dozens of other popular
investments deemed to be complex, I am total against an organization coming against the peoples right to buy, sell, trade
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
FINRA is conducting a targeted exam of firm practices regarding retail communications concerning Crypto Asset products and services.
The Neutral Corner - Volume 4—2022
