FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.
The NASD Board of Governors believes the proposed rule is necessary to
Summary
FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.
Notice of Annual Meeting of FINRA Firms and Proxy
INFORMATIONAL
Margin Disclosure Statement
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Margin
As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange
Comment Period Expires May 31, 1999
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Do not prevent individual investors from being able to invest in leveraged and inverse funds such as are offered by Pro Shares. These are no more difficult to invest in than are all other securities.
Regulate the market manipulation by large corporations, brokerages, and funds which buy and sell to move market prices. Regulate use of warrants which allow corporate officers to purchase stocks at
IMMEDIATE ACTION REQUIRED
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Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had
This is a free country, this means everyone has the right to invest in what they choose, without the government saying anything. You were voted in by the people to work for the people, not to let your ego get the best of you and take away our rights. Do the job you were voted in to do and stop trying to take away our rights! We have the right to fire politicians we deem unfit to hold office.
