Rule 606 of Regulation NMS requires broker-dealers to disclose information regarding the handling of their customers’ orders in NMS stocks and listed options. These disclosures are designed to help customers better understand how their firm routes and handles their orders, assess the quality of order handling services provided by their firm, and ascertain whether the firm is effectively managing potential conflicts of interest that may impact their firm’s routing decisions.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury's (Treasury) amendments to the Bank Secrecy Act (BSA), which facilitate tracing funds through the funds transmittal process, became effective May 28, 1996. For transmittals of funds of $3,000 or more, broker/dealers are
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
This is a very stupid idea. What are the investors holding these stocks going to do if those very bad rules are in acted? Please dont in act.
Exemption from lock-up provisions in Rule 2710(g) for shares to be issued upon the split of common stock that takes place within 180 days of the required filing of the offering with NASD when the pre-split shares were acquired prior to the 180 day timeframe.
Dear FINRA, people should have the right to invest. It shouldn't be just for the rich people of this world
Please let the rules stay the same.
This is an unfair and undemocratic rule that may hurt smaller investors and their ability to invest and have a good long term return. This should not go through.
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Please do not make any enhancements to current rules. The outcome will only limit retail investor access - allow the market to act independent.
Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
