Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
INFORMATIONAL
Arbitrator Classification
Effective Date: July 19, 2004
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KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rules 10308 and 10312 of the NASD Code of Arbitration
INFORMATIONAL
Selling Away And Outside Business Activities
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Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
Senior Management
Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
I fully support this proposed rule change and additional rule regarding short position reporting. Additional rules to protect investors, especially retail investors, should be explored on this topic as well as other issues such as order flow prioritization, block share lending, and ability to dictate exchanges for orders to be sent to. How is it possible for >50% of the daily trading
I am an investor in AMC. I, as millions of others, have purchased our shares and held honestly. The hedge funds, however, have continually manipulated the stock market, namely AMC and GME. Their reporting of short interest position and their manipulation of naked shares, dark pool shenanigans, short ladder attacks and getting slaps on the wrist being fined a pittance compared to their net worth
There shouldn't be a two day delay in short sale returns and coverage. All the big players on Wall Street get it the day of and yet everyone else has to wait 2 days. How about making the rules fair for everyone and everyone being able to see it the same day. Also I'm sick of algorithmic trading back and forth back and forth back and forth. When you going to outlaw something like that
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
Proposal to Increase the Fee for Panel Member Training
REQUEST FOR COMMENT
Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Executive Representative
Legal & Compliance
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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
