NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
Summary
Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party vendors, including any sub-
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 28, 1985, in observance of Thanksgiving Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement Date Schedule For "Regular-
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested
I 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. Not only I think I have the right to share my views, but I trust the regulators will hear my concern and my right into consideration in deciding whether to move forward! Thank you for taking action. LIST OF INVESTMENTS THAT
We should get fair reporting real time on the buys and sells as they are placed in the market. Brokers and market makers make billions every year by payment for order flow and parking orders. They spent millions to get faster fiber optic cables for those fractions of a second faster receiving of the data as Knowledge is and forever will be power. Why is there a t plus 2 or some reports only send
Decisions on applications shall be in writing and a copy shall be sent to the National Adjudicatory Council’s Review Subcommittee (as defined in Rule 9120(aa)). If not called for review in accordance with Rule 9760, the Hearing Officer shall issue its decision after being notified by the National Adjudicatory Council’s Review Subcommittee that the decision will not be called for review or upon
We absolutely need more transparency in the market. As more and more retail investors are joining the market, many of them are learning that they don't have access to the same information or ability to perform actions within the market that some of the huge institutions and market makers do. Naked shorting, dark pool trading, payment for order flow, etc. are all things that when examined at
As a retail investor, it is very clear and evidenced through obvious stock price manipulation that the market as it is constructed today favors the hedge funds and market makers. Put simply, retail investors want a more transparent market for everyone. Some things that would help: 1. Accurate data reported in real time (short interest, FTD, etc…). Short positions should be reported and released
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
