Notice of FINRA Small Firm Advisory Board Election and Ballots
SUGGESTED ROUTING
Legal & ComplianceOperationsSystems Trading
As of October 27, 1994, the following 45 issues joined the Nasdaq National Market, bringing the total number of issues to 3,732:
Symbol
Company
Entry Date
SOES Execution Level
MTLG
Metrologic Instruments, Inc.
9/29/94
500
ALRM
Protection One, Inc.
9/29/94
1000
GCHI
Giant Cement Holding, Inc.
9/30/94
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3240 (Borrowing From or Lending to Customers).
I fully support Short Interest Position Reporting Enhancements, I am a 63 year old retail trader who has seen short selling abused over many years. I believe the enhancements plus additional regulations that will help stop the market manipluation using shorts and naked shorts is crucial to head off future financial disasters in the marketplace. Please pass these proposals and consider anything
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
The Securities and Exchange Commission (SEC) has approved changes to Rule 17a-5. This rule authorizes the designated examining authority (DEA) to grant or deny requests from broker/dealers for extensions of time to file their FOCUS and audited annual financial reports. Also, these
To FINRA administration: I OPPOSE the FINRA Regulatory Notice #22-08, which would limit my right to invest in inverse and leveraged funds which would threaten my financial objectives as an investor. I have been trading securities and funds in my personal and retirement accounts for over 30 years and should be able to choose the vehicles which I feel are appropriate for my portfolio and am aware
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. I, not regulators, should get to choose the public investments that are right for my investment strategies. Public investments should be available to all, not the select privileged. I oppose requirements of regulator-imposed tests, sharing private financial information, obtaining special permission, and any and all other restrictions on leveraged/
