Distribution Manager is used by the lead manager or book runner of a firm-commitment initial public offering (IPO) or follow-on offering to report underwriting commitments and retentions on behalf of the syndicate.
Important notes to consider when searching the FINRA Disciplinary Actions Online Database
the proposed rules are harmful to individual small investors
I oppose the rule to restrict investors right for investment.
DO NOT APPROVE FINRA PROPOSED RULE #22-08
Rule 606 of Regulation NMS requires broker-dealers to disclose information regarding the handling of their customers’ orders in NMS stocks and listed options. These disclosures are designed to help customers better understand how their firm routes and handles their orders, assess the quality of order handling services provided by their firm, and ascertain whether the firm is effectively managing potential conflicts of interest that may impact their firm’s routing decisions.
Do not pass this ABSURD rule #S7-24-15
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a schedule of fees and credits for The Trade Reporting Facility LLC (the "NASD/Nasdaq TRF") established by NASD and The Nasdaq Stock Market, Inc. ("Nasdaq").
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
INFORMATIONAL
Online Comments
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representative
Senior Management
Notices to Members
Public Access to Comments
Requests for Comment
Executive Summary
NASD today announced that it is now making available on its Web Site comments filed in response to Notices
