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Executive Summary
NASD Regulation, Inc. (
Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
Naked shorting is illegal. HAH. If only these rules were enforced. If only infinite loopholes didn't exist.
I only have 1 comment. The SEC looks like a joke around the world. The rules are clearly not being applied.
Transparency, Equality, Fairness, Expediency, and RULE enforcement All of these qualities MUST exist in a FAIR and OPEN marketplace.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through June 30, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Rule" or "Manning").
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Comment Period Expires: April 30, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD® Rule 2460 that would restrict the payment of "finders" or referral fees by NASD members to unregistered third parties for the referral
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
