SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) for 60 days effective December 31, 2002 and expiring March 1, 2003. The TAF structure as originally proposed in SR-NASD-2002-98 (and sunset in SR-NASD-2002-147) expired on December 31, 2002. Upon expiration of SR-NASD-2002-98, the member regulatory pricing structure was to
Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
I oppose FINRA's proposed rule #22-08. My ability to invest the finances of my family should not be left up to the discretion of government or regulators. The ability to invest in public securities should not be withheld from the general public not should we be required to pass a test to invest our own finances. We take a known, and sometimes unknown, risk when we invest our finances
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend Rules 4632E and 6130E relating to the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF") to change the system closing time from 6:30 p.m. to 8:00 p.m. (Eastern Time), which conforms with the system closing time of the NASD/Nasdaq Trade Reporting
I oppose the SEC Proposed Rule #S7-24-15 for the following reasons 1. It is a form of Central Control for the "government" to impose its judgement on investors about investment vehicles that play a key role in risk mitigation for portfolio managers. 2. It is way to impose additional costs on investors and barriers to market efficiency. When markets are made less efficient people will
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
08-51 - SEC Approves Amendments to FINRA's Transaction Reporting Rules to Require Prompt Last Sale Reporting of Transactions in Foreign Securities
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
