FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we
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EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
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Payment Deadline: December 8, 2000
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) 2001
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The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set,
Effective March 1995
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Executive Summary
Some of the self-regulatory organizations (SROs) comprising the Intermarket Surveillance Group (ISG) agreed to adopt policies to ensure uniform reporting of all short interest in traded securities. The NASD has amended Article III, Section 41 of the NASD
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Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
I use leveraged and inverse funds regularly in my investment strategy. They are an integral part of my portfolio. I am fully capable of understanding all the risks associated with these funds and have knowingly chosen to include them in my portfolio after analyzing those risks. The brokerage firms already require signed documents in order to trade these instruments and they also give warnings
(a) Transaction Related Charges
The following charges shall be paid by the participant for trade reporting to the OTC Reporting Facility. In the case of trades where the same market participant is on both sides of a trade report, applicable fees assessed on a "per side" basis will be assessed once, rather than twice, and the market participant will be assessed applicable charges
