The payment of a salary to a sales assistant by a registered person is not prohibited by NASD rules, nor would it require the registered person to register as a general sales supervisor under Rule 1022(g).<br/>
I strongly believe it is of the utmost importance that the general public be allowed to invest in these publicly available securities. They allow people with smaller amounts of capital to get the exposure they need to the market, and invest for they and their family's future financial well-being. Limiting these investments to professionals or only those with high capital would be class
Series 7 registered representatives are not required to register under Series 55 as equity traders based solely on the fact that they perform the clerical function of entering customer phone orders into the same routing system that customers could use to enter orders electronically. The Series 7 representatives, under the facts described in the letter, would not provide any advice to the customers, including advice on possible paths or methods of execution.
To whom it may concern, I would like to voice my concerns regarding the following: Naked short selling High frequency trading algorithms Payment for order flow Dark pools Over the course of 2021, meme stocks have made quite a splash in financial markets and exposed what would constitute fraud for the average person, but turns into "savvy investing" for financial institutions. The
ROUTE TO
Senior ManagementOperationsOther
Attn: Operations Officer, Cashier, Fail-Control Department
On June 28,1988, the United States District Court for the Northern District of Oklahoma appointed a SIPC trustee for the above firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC
FINRA invites member firms that participate, or plan to participate, in the security-based swap (SBS) market to provide views and information with regard to broker-dealer SBS activities, including the application of FINRA rules to those activities. Any other interested party is also invited to submit views and information. FINRA welcomes views and information on all aspects of SBS activity,
The FINRA Board of Governors meets this week for the first time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 30, 1985, the United States District Court of South Carolina, Charleston Division, appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 16, 1985, the Federal District Court for the Eastern District of Arkansas appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 10, 1985, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firms.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
