TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 1, 1986, 18 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,420. These 18 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM):
Symbol
Name
Coupon
Maturity
BG.GA
Brown Group
7.375
1/15/98
PRWL.GB
Price Cellular Wireless
12.250
10/1/03
UAL.GH
United Air
10.110
2/19/
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryIn early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating Committees.In this election, each
NASD Clarifies Rules
Governing RR/IAs
Suggested Routing
Senior Management
Internal Audit
Legal & Compliance
Registration
Training
Executive Summary
On May 15, 1994, the NASD® issued Special Notice to Members 94-44, , which clarified the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to investment advisory activities of registered representatives (
John Q public should ALWAYS be able to choose what investments THEY feel is right for them....period. The USA is still a FREE COUNTRY and thus its citizens should always be free to choose their investment vehicles and strategies with NO special application, process or test to invest their hard earned money. As a FREE citizen, I know the risks that I am taking when I invest in any security that
As a United States citizen with sound mind to make my own decisions on public investments that are right for me, I oppose the Financial Industry Regulatory Authority putting restrictions on what public investments I should be able to invest in. Public investments should be available to all of us and not just the privileged. I should not have to go through any special restrictions or approvals to
It sounds like you want to take away my choice and right to hire someone to take care of my investments. I am totally against this move. It feels like an intrusion into my life. An intrusion into the time and money I invested in setting aside monies to provide for my myself and my family in my retirement.
There is so much wrong stated in this proposed change!!!
The statement "This
As a single senior woman investor, I want my voice to be heard. This is my life savings we are talking about, as slim as they may be compared to wealthy investors. 1. Leveraged and inverse funds are mandatory to me especially in this declining market, as they act like a hedge to protect my investments. 2. I have a financial advisor because I am not astute in financial matters. Although I
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
Because I have a high degree of understanding of the inverse and leveraged funds, I understand why regulation is being considered. However, traders have always been and always should be responsible for their own investing knowledge and actual trades.
I am AGAINST:
Having to demonstrate a high net worth. There are plenty of traders out there with a high degree of trading acumen but low net worth
