IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS OCTOBER 3, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed new Rule of Fair Practice, which would require members to maintain a record of their total "short" positions in NASDAQ securities in all customer and proprietary firm accounts and report this information,
The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
On-Site Review Program (OSR)
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
StatusCode for StatusDescriptionAbandonedABANDONEDA manually set status that indicates that information for an individual has not been submitted to a state within the time period specified by the state. The individual cannot conduct business.Administrative TerminationADMTERMA status which has been set pursuant to a termination for administrative reasons (i.e. Mass Terminations)Approved Pending
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
It has come to my attention that FINRA issued a notice on 8 March 2022 regarding certain securities with simple inverse or leveraged price movements.
Designation of these products as complex securities is completely unwarranted as any complexities in the structuring of these securities is no more relevant to investor, that the structuring of any other ETF. The price action is not complex to
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
