There needs to be a far stronger watch on naked short selling that is clearly a major issue in the current market. Investors should have full transparency to what's going on within the markets they invest their money in. The entire world has their eyes on the US Financial system at the moment. The result of the lack of oversight and control has put extreme distrust in the American financial
FINRA 21-19 is something this country has needed for a long time -- financial institutions, hedge funds and the like need to be better regulated. I didn't know a lot about the market before this year, but what I have learned is that there are too many loopholes, and a lack of enforcement of existing regulations, that allows big players to make money at everyone else's expense. Synthetic
On June 7, 2007, the SEC approved amendments to Rule 2790 to prohibit issuer-directed allocations of new issues to broker-dealers and to provide an exemption for issuer-directed non-underwritten offerings.
I oppose any restrictions to my right to invest in public securities like leveraged and inverse funds. As a private citizen I, not a regulator, should be able to choose the public investments that are right for me and my family. I don't feel I should have to go through any special process like passing a test before I can invest in leveraged and inverse funds. I did the homework BEFORE
Comment Period Expires: May 17, 1995
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Executive Summary
The NASD requests member comment on a proposed Interpretation of the NASD Board of Governors to Article III, Section 2 of the NASD Rules of Fair Practice (RFP). The
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*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD
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Executive Summary
NASD Regulation, Inc. (
INFORMATIONAL
FOCUS Reporting
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FOCUS Reports
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
Summary
Effective February 25, 2021, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.10 per million dollars in transactions to a new rate of $5.10 per million dollars in transactions.
Finance-related questions should be directed to:
Amanda Rath, Manager, Finance
Y2K Testing Not Required For Legacy CRD And PC FOCUS
Due to the availability of the new Web Central Registration Depository (CRDSM) system and Web-Based FOCUS filing system, the National Association of Securities Dealers, Inc. (NASD®) does not require Year 2000 testing of their predecessor systems - Legacy CRD and PC FOCUSSM. The new systems - Web CRD and Web-Based FOCUS - have successfully
