FINRA is reviewing retail municipal securities transactions. In connection with this review, we request your firm to produce the following information relevant to retail customer municipal transactions by your firm for the period from January 1, 2009 through March 31, 2009.
Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application
(a) Under the terms of the business arrangement establishing the FINRA/NYSE Trade Reporting Facility, NYSE Market (DE), Inc. (“NYSE Market”), as the Business Member, has a non-exclusive, irrevocable, worldwide, perpetual, royalty-free right and license to use covered market data, consistent with all applicable laws, rules and regulations. NYSE Market, as the Business Member, has a contractual
Comment Period Expires October 15, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
FINRA Rule 4554 states that if for any reason an ATS uses a NBBO source other than the one that was reported on its ATS OATS data submission, the ATS must notify FINRA via e-mail that an alternative source was used to obtain the NBBO
(a) Appointment by National Adjudicatory Council
Following the filing of a notice of appeal pursuant to Rule 9311 or a notice of review pursuant to Rule 9312, the National Adjudicatory Council or the Review Subcommittee shall appoint a Subcommittee or an Extended Proceeding Committee to participate, subject to Rule 9345, in a disciplinary proceeding appealed or called for review.
(1)
I understand the risks and the benefits of leveraged ETF. I still can trade options. For years I prefer to trade these leverage ETF. I hope you dont change the rules.
Thanks,
Pallop.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed new Section 44 to Article III of the
