I am opposed to your proposed limitations on my ability to purchase and sell investments. Your proposed rule should not be implemented.
(a) Unless otherwise provided, terms used in the Rule 8000 Series shall have the meaning as defined in Rule 0160.
(b) The term "Adjudicator" shall have the meaning as defined in Rule 9120.
Amended by SR-FINRA-2012-007 eff. Feb. 21, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended by SR-NASD-95-39
Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
NASD Regulation Reminds Members To Develop Year 2000 Plans
NASD Regulation, Inc., urges National Association of Securities Dealers, Inc. (NASD®) members to develop and implement an action plan to ensure and achieve Year 2000 compliance. The scope of Year 2000 plans should extend to all information technology systems (internal and external) used to conduct a securities business and other
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
Rulemaking Items for Discussion at the April 2014 Meeting
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
In 2019, FINRA assessed firms’ senior investor protection programs, including their implementation of the FINRA Senior Exploitation Rules. In particular, FINRA evaluated how firms addressed risks relating to senior investors in their policies and procedures; gathered trusted contact person information; developed training relating to senior investors; implemented systems to escalate financial
Any delays in settlement provides a wide open door for manipulation & that is exactly what we see now. Rules do not matter when there is No Enforcement!
* Dark Pools should be banned , they are being misused against retail by large players * Naked short selling can be address in 21st century by simply adding a unique identifier to each share and can be tracked for short selling. * Rules need to be enforced, cannot just have rules like SSR and nobody follows them, shares actually fall more on days of SSR * Fines should be increased 100X maybe some
