NASDR has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure to implement a voluntary single arbitrator pilot program.
The FINRA Board of Governors will consider the following rulemaking item at its February 2011 meeting. FINRA is publishing this information to provide additional transparency in the rulemaking process. After the February 3 meeting, FINRA will notify firms via email about the Board's action on this item and anticipated next steps, if any.
Third-Party Service Providers
The Board will
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
This is to respectfully request that you DO NOT apply blanket and arbitrary rules that restricts investors access to publicly listed and traded securities. All investing incurs risk. Rules such as these could actually enhance liability as it implies other investments are "safe". Should investors assume "ZOOM" was a "safe, non-leveraged investment?
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Online Arbitration Claim Filing Pilot Program
As an investor in our countries “fair & free” stock market the suspicious activity surrounding a few stocks has made myself (and millions of other investors) quite skeptical on the integrity and fairness of the US stock market. The world is watching to see what happens as greedy hedge funds with billions of dollars tinker around with the market with shady (even illegal) tactics that could
NASD has filed with the SEC a proposed rule change discussing the implementation of new and revised qualification examinations to address trading in security futures.
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
(a) Alternative Trading Systems' Recording Requirements
(1) Each alternative trading system that accepts orders for security futures (as defined in Section 3(a)(55) of the Exchange Act) shall record each item of information described in paragraph (b) of this Rule. For purposes of this Rule, the term "order" includes a broker-dealer's proprietary quotes that are
