I should and do have the right to choose my public investments. NOT some financial institution or broker or government restrictions. There should be NO restrictions, tests, or special processes to obtain leveraged inverse funds. NO RESTISTRIONS OR IMPOSED LIMITATIONS due to some new regulations. The leveraged and Inverse funds are part of my portfoilio and I don't see the need to take these
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1990, the following 13 issues joined Nasdaq/NMS, bringing the total number of issues to 2,609:
Symbol
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III,
FINRA is a not-for-profit, self-regulatory organization dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
As announced in a Technical Notice on 6/3/19, there was an issue in the Tier 1 5/13/19 weekly report where some ATS data was unattributed. The issue has now been resolved. The unattributed data was actually associated with trade activity on the MLIX Instinct X ATS. The line data for MLIX has now been updated to reflect the additional activity.
If you have any questions, please contact FINRA
Read the frequently asked questions for information on filling out each section of the SSOI.
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the third quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
84-36
July 18, 1984
Request for Comments on
Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
Current rules/regulations that are in place to monitor/report short selling and positions associated with short selling are entirely inadequate. Rules in place that allow for many loop-holes including short exempt, married calls/puts and dark pool activity + high frequency trading leaves currently regulations looking like swiss-cheese. Abuse from market makers and hedgefunds that are paid in gold
