FINRA Provides Guidance on New Rules Governing Communications With the Public
NASD Regulation Delays Implementation Date Of Phase III Of OATS From October 31, 2000 To December 15, 2000
On August 30, 2000, NASD Regulation, Inc. (NASD RegulationSM ) filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule proposal that extends the implementation date of Phase III of the Order Audit Trail System (OATSSM) to December 15, 2000. As provided
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
Thank you for the opportunity to comment on the above propose rule. Individuals should be able to choose the investments that are right for them and not be limited by criteria established by regulators. Information is required to be readily available from the financial companies offering the investment that describe the risks associated with each type of investment in the form of a prospectus or
Proposed Rule Change Relating to Fee for the Operations Professional Examination
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of
Fair Play. I don’t think a hedge fund should be involve in market maker ( conflict of interest) . Privilege to have first hand information. Short positions must be disclosed. Media should be regulated, they are not financial advisor. They can’t tell people what to buy or what to forget. And the most important. Laws and rules must be followed. Institutions must act accordingly , the employees of
When companies are fined millions for breaking rules that netted them billions, there is no reason to not break those rules. Naked Shorting is predatory upon companies and investors alike. Make the penalty greater than the theft. Along with potential criminal referrals. This is only way to clean up the marketplace. It's gone on far too long. While 70 million to average people sounds extreme
The retail trader is currently at a huge disadvantage with seemingly insurmountable odds stacked against them. There needs to be full transparency in the markets regarding, short interest reporting, synthetic reporting, dark trading data, retail brokers selling to dark pool data, etc.. There should also be full enforcement of current rules in place and much higher fines for breaking the
It shouldn't be the powers to be making the rules
