TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 1, 1986, 18 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,420. These 18 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 10 securities will join the 880 already trading in the NASDAQ National Market System on Tuesday, May 8, 1983. (The 880 include the 50 issues scheduled to join NMS on April 17.) These securities have met the NMS mandatory designation requirements, which include an average trading volume of 600,000 shares a month for six months
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
SUGGESTED ROUTING*
Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Registration
Research
Syndicate
Systems
Trading
Training
*These are suggested
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
Overview
The financial services industry heavily relies on cryptography to safeguard digital information. Whether to securely store customers’ personally identifiable information (PII), access the internet through a virtual private network (VPN) or ensure the integrity of a trade order placed on a mobile application, cryptographic algorithms play a central role in many critical functions within
The organization doing the shorting should not be the one reporting that it actually shorted or the current amount. Everything in the stock market should be electronic, reported as it happens by automated means, and documented for all to see in a central location. Everything in the stock market could be automated and these "market makers" / hedge funds are taking advantage of the system
The system has been corrupted by unethical, greed motivated, vulchers. This is catastrophic. Regulations were written by lobbyists to tip the scale AGAINST the IRA HOLDING retires that have lost pension plans, only to be cheated of real earnings. A self-governing, quasi regulatory group, without robust oversight, leaves the average retirement fund at inordinate risk just as soc security is
Regulatory Notice 21-19; I have watched the stock that I am invested in get shorted into the ground, manipulated through short ladder attacks and dark pool trading. If I am to maintain any faith at all in the integrity of the North American stock market system, it can only happen if Citadel Securities is called to report their short position and other requested information per the Regulatory
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
