(a) Notice of Requirements and/or Restrictions; FINRA Action
FINRA staff may issue a notice directing a member to comply with the provisions of Rule 4110, 4120 or 4130 or restrict its business activities, either by limiting or ceasing to conduct those activities consistent with Rule 4110, 4120 or 4130, if FINRA staff has reason to believe that a condition specified in Rule 4110, 4120 or
Comments: Dear FINRA, I have been investing in stocks and options for over 30 years and have used leveraged or inverse products for the last 20 years. The proposed regulations and or guardrails for what you call complex products would undoubtedly disrupt the existence of these products and future development of these products. L&I ETF's have given me the opportunity to
I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. Additional regulation would only serve as an unfair restriction on the public in investing in public securities. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On March 8, 1994, the Securities and Exchange Commission (SEC) issued an order declaring immediate effectiveness of amendments to add a new Section 45 to Part III of the Code of Arbitration Procedure imposing a surcharge on any member named as a party to an arbitration proceeding. The text of the amendments,
November 2, 1999Below is a summary of common data elements that are not being reported correctly to OATS. Failure to report timely, complete, and accurate information to OATS may constitute a violation of NASD Rules 6955 and 2110. Please review the items below, and if you have questions contact Business and Technology Support Services at (800) 321-NASD or via e-mail.
Account Type Code—This
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186:
Symbol
Company
Entry Date
SOES Execution Level
CFBKP
Citizens Federal Bank, A Federal Savings Bank
6/23/93
200
PITC
Pittencrieff Communications, Inc.
6/23/93
1000
RCAP
Re Capital
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market Inc., began operation of the Fixed Income Pricing SystemSM known as FIPSSM for members trading high-yield bonds. FIPS was created to facilitate the over-the-counter trading of
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 28, 2024. Please be advised that the ORF system will close early on Friday, November 29, 2024 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
