SR-FINRA-2008-011 - Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand the scope of Interpretive Material (IM) 2110-2 (the "Manning Rule") relating to trading ahead of customer limit orders to apply to all over-the-counter ("OTC") equity securities.
I have held stock in both GME and AMC since January. I watched as the GME stock was manipulated by several Brokers when they all removed/limited retail investors ability to purchase stock but allowed selling. This resulted in a " Flash Crash" of GME price. Since then we have watched Companies use shorts/naked shorts to manipulate the price of both AMC and GME. There seems to be a
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
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KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Executive Summary
On
Comment Period Expires: February 3
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Senior Management
Corporate Finance
Legal & Compliance
Trading
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on a new proposed rule, NASD® Rule 2460 (Rule), that would prohibit any payment by an issuer or the issuer's affiliates and promoters, directly or indirectly, to a member for
GUIDANCE
Appeals of Qualification Examination Waiver Requests
Effective Date: September 1, 2004
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KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
National Adjudicatory Council
Qualifications Examinations
Rule 1070
Rule 9600 Series
Executive Summary
On July 27, 2004
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6952 to require members to record and report to the Order Audit Trail System ("OATS") order information relating to OTC equity securities.
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A) of the NASD to triple the position limits on standardized (exchange-traded) equity options and make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security.
