NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for nine months, to January 26, 2007, the operation of NASD's Alternative Display Facility ("ADF") on a pilot basis.
I'm writing to request more transparency, fairness and accountability in our financial markets, as all of us rely on our regulatory entities for that assurance. There are some things that are of particular interest to me: 1. Transparency of Buy/Sell orders in the market as a whole, including but not limited to OTC/ATS off market trading. 2. Information market makers have when it comes to
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,
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
Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings
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
As previously announced in Nasdaq Equity Trader Alert # ETA2018-63, effective September 1, 2018, a new category of participant on the FINRA/Nasdaq Trade Reporting Facility (or “FINRA/Nasdaq TRF”)1 was established for purposes of trade reporting fees under FINRA Rule 7620A – the Retail Participant. The Retail Participant Program is designed to better align and tailor retail pricing to the profile
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-
