Hello. I am a supporter of transparency within the stock market. I have found that there are certain holes in the current regulations that make it possible to conceal important and actionable information from the public. These include: The lack of requirements for disclosure of an entity's short positions The lack of daily (or instant if possible) updates as to the current short interest of
Stop charging small fines to hedge funds manipulating the stock market. They break the federal laws, knowing that you, FINRA, SEC and DTCC will just give them a pat-on-the-back. All of the recent actions we've seen you, FINRA, the SEC and DTCC taken as of recent points to collusion with Market Makers, and hedge funds. It's the very reason why the children of the FBI and CIA have
The market is broken. Please enforce more rules/regulations regarding illegal sale of shares, market manipulation, and all around shady actions from market makers and HFs. I make minimum wage, and only invest what I'm comfortable with, but it's nearly impossible to gain any traction when the market is so corrupted. Tempted to remove my funds from the market as a whole and stash my cash
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt NASD Rule 3090, to: (1) require NASD members to promptly obtain and implement a duplicate statement instruction whenever they have actual knowledge that an Association or American Stock Exchange employee has a financial interest in, or controls trading in, an account; (2)
(a) Member Application Process
(1) Definitions
(A) "Associated Person"
Solely for purposes of paragraph (a) of this Rule, the term "associated person" means any: (1) sole proprietor, partner, officer, director or manager of a funding portal, or other natural person occupying a similar status or performing similar functions; (2) natural person directly
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.
The NASD Board of Governors believes the proposed rule is necessary to
Executive Summary
The NASD today appointed Bernard Thompson as Ombudsman for the NASD and its subsidiaries, The Nasdaq Stock Market, Inc., and NASD Regulation, Inc. The Ombudsman position has been created within the NASD's Department of Internal Review. The Ombudsman will serve as an alternative dispute resolution practitioner. His primary objective is to find an acceptable solution to
TO: All NASD Members And Interested Persons
Attached are amended By-Laws of the Association which are being published at this time for comment by members and interested persons. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-Laws, Rules and Interpretations. The initial step in the
Options trading carries risk and requires specific approval from an investor’s brokerage firm.
