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Executive Summary
The NASD urges members to take immediate action to ensure the accuracy and completeness of trading data submitted through the NASD's electronic blue sheet system in response to regulatory inquiries. The NASD has become concerned that the quality of submissions by members is not at
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
I’d love to see more more transparency. I’d love to be able to trust the data that I see when researching stocks. I’d love to trust that the markets are fair. I can’t do that right now due to how the current system is setup. The US markets are completely fake. The changes suggested may improve things.
Under the current and long-standing disclosure-based system, I as an investor should have the right to decide which public equities, bonds and funds I want to buy. The newly announced changes suggested by FINRA will upend that principle, giving regulators and not me, the investor the decision making opportunity to decide what public securities I can and cannot invest in. This is not acceptable
I dont see the point taking away the freedom to invest. I find it odd for regulators to even think about this when market manipulators continue to make billions. The playing field is not level if the regulators continue to turn a blind eye to the truth of how these manipulators take advantage of loopholes in the system. Address that first and maybe we can revisit this.
Good afternoon!
FINRA are subjective and could lead to unfair or even
discriminatory treatment of investors.
Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy.
Don't giving regulators the power to decide what public
securities you can and cannot invest in. Leave it for investor!
It would be perilous to impose further checks that can be arbitrarily initialized by brokers with an existing conflict of interest via execution of Dark pools or naked shorting. With the flux of retail investors and the massive flux of public man-hours allocated to investigation of the current regulatory systems. Even with tepid limitations on tort in Canada; The existing premium paid for latency
March 24, 2005
NASD has recently made several changes to the OATS Compliance Sweeps that are conducted by the Market Regulation Department. The following list highlights some of the more significant sweeps conducted by the Market Regulation OATS Team and the changes that have been implemented recently for each type of review. Members should note that the following is not a
The Frequently Asked Questions below are taken directly from the Securities and Exchange Commission’s Regulation Best Interest and Form CRS FAQ pages. The below are FINRA’s best attempt to highlight the latest SEC FAQs, but additional FAQs may have been published that are not posted on this page. For the latest FAQs on Reg BI and Form CRS, please visit the SEC’s website.SEC Frequently Asked
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
Symbol*
Company
Location
ARTW
