TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury is soliciting comments on proposed amendments to the implementing regulations of the Bank Secrecy Act. Also known as the Currency and Foreign Transactions Reporting Act of 1970, these regulations govern the payment, receipt or transfer of currency or other monetary instruments; the export or import
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of February 10, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,880
This is my second letter to you. We dont need more government regulation on investing. I am a small investor with an IRA. I have a small amount to invest outside of the IRA. However I choose not to invest that money because capital gains tax would eat up any profit. If you want to help the small investor then give us a $10,000 exemption for short and long term capital gains tax in each tax year.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 15, 1986, 37 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,307. These 37 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I should not have to take any type of test to invest my own funds. This looks as if you are taking away a way for people to increase their assets. This is a ridiculous concept in our free market !
I am opposed to regulatory efforts to control Your my decision to invest in leveraged assets. I am capable of determining my own level of acceptable risk exposure without government interference.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
The Manipulative Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
