INFORMATIONAL
Exchange Act Rules 11Ac1-5 And 11Ac1-6
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Disclosure of Order Execution and Order Routing
Exchange Act Rules 11Ac1-5 and 11Ac1-6
Executive Summary
NASD Regulation Inc. (NASD RegulationSM) is issuing this Notice to Members to inform members about
Mr. Chairman and Members of the Committee: NASD is grateful for the invitation to testify regarding self-regulation in the securities industry. NASD commends the Committee's efforts in reviewing the self-regulatory system.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Thursday, November 11, 1993, and Thanksgiving Day, Thursday, November 25, 1993. On Thursday, November 11, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading.
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
The restriction of investment in non-traditional stocks and bonds is a driving force in making the investment playing field unlevel between the regular Americans and HNW individuals/institutions. There is no benefit by limiting the playing field to the average American, and reduces the ability of wealth creation along with hedging abilities that HNW individuals have.
Inverse and leveraged ETFs
October 30, 2003OATS Phase 3 reporting of manual orders has not yet been approved by the SEC. NASD, however, is reminding firms that have previously submitted an OATS Subscriber Initiation and Registration Form ("SIRF") indicating that they are Phase 3 firms to periodically review their business model and order handling processes to ensure they continue to qualify as a Phase 3 firm. If
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
Comments on Regulatory Notice 22-08 I am a self-directed retail user of investing products that is approaching retirement. I do not have a finance background per se, but I have a PhD in engineering with a career revolving around probabilistic risk assessment, and financial concepts translate well. I am not necessarily representative of the “typical” self-directed investor that the regulatory
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day, Wednesday, November 11, and Thanksgiving Day, Thursday, November 26. On Wednesday, November 11, the NASDAQ System and the exchange markets will be open for trading. However, it will
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day, Tuesday, November 11, and Thanksgiving Day, Thursday, November 27. On Tuesday, November 11, the NASDAQ System and the exchange markets will be open for trading. However, it will not
