The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing.
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
Hello,
My name is Christopher Francis Lewis Patterson. I am an non-traditional, first generation undergraduate Business Information Systems Major communicating to you in the midst of finals at CSUDH Dominguez Hills in Carson, California. There’s a lot of other details about me that you may find interesting relating to my upcoming dialogue, but that’s not what this comment is about.
I would like
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Regulatory Relief
PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated, including the NYSE rules referenced in this Notice. The incorporated NYSE Rules apply solely to members of FINRA that are also members of NYSE on or after July 30, 2007, referred to as "Dual Members." Dual Members also must comply with NASD Rules.
Fast Account Switching allows individuals with multiple firm entitlement accounts to quickly switch between these accounts without re-entering their password. This Fast Account Switching capability saves time for the numerous individuals who work on behalf of more than one organization.
Background
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry. A growing number of FinTech firms have been embracing new technologies, pioneering innovative products and developing new client-oriented financial services business models. Many traditional financial service providers are also rethinking their business models,
(a) Participation Requirements
(1) Only members of FINRA in good standing may participate in the FINRA/NYSE Trade Reporting Facility.
(2) Participation in the System shall be conditioned upon the initial and continuing compliance with the following requirements:
(A) execution of, and continuing compliance with, a Participant Application Agreement;
(B) membership in, or maintenance of an
