Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
CRD
Legal & Compliance
Member Regulation
Operations
Senior Management
Branch Office Definition
Rule Modernization
Rule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 2, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
Please note for TRACE: If a
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
(a) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member knows or should have known of the existence of any of the following:
(1) the member or an associated person of the member:
(A) has been found to have violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct
I am very concerned that there is talk about us having more restrictions on what we can invest in not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I am able to go online and read the information to decided what to buy and not have to go through any special
TO: All NASD Members and NASDAQ Subscribers
We are pleased to announce that the NASD is now offering a new NASDAQ data service. Subscribers to this service may receive copies of the Monthly Statistical Report (MSR) for all or a select group of NASDAQ issues on either an annual subscription or single-month order basis. Each MSR includes daily, weekly and monthly price, volume and market maker
To whom it may concern:
I was very concerned to hear of the proposed regulatory changes for leveraged and inverse funds.
While I support the surface notion of FINRA protecting retail investors, I do not believe restricting access to these "complex investments" is in any way an appropriate step.
Education is a worthwhile goal, but mandating licensing or other knowledge tests
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&I Funds).
Dear Regulators,
I am Kamala Chandrasekaran, 58 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in the