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The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
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Definition
Why we share this data
Convertible
Used to indicate if the bond is convertible. A convertible bond is a corporate debt security that can be converted into equity at specific times during the bond's lifcycle usually at the discretion of the bondholder.
So that investors understand the nature of the bond.
The Cross-Market Equities Supervision: Auto Execution Manipulation report is a tool designed to provide firms feedback on exceptions that were generated based on the firm’s order entry and trading activity in a given surveillance period. The report covers auto execution manipulation. This report is produced on a monthly basis.
Summary Report
The table below provides
(a) General
This Rule 5190 sets forth the notice requirements applicable to all members participating in offerings of securities for purposes of monitoring compliance with the provisions of SEC Regulation M. In addition to the requirements under this Rule 5190, members also must comply with all applicable rules governing the withdrawal of quotations in accordance with SEC Regulation M
The Best Execution section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Anti-Money Laundering (AML) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
IMPORTANT
TO: All NASD Members and Other Interested Persons
In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System.
This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Dear Regulators: I have been investing for over 50 years. I have traded stocks, bonds, commodities, futures, options, and currencies. I do not want regulations telling me what I can or cannot invest in. I am responsible for my choices and the resulting consequences. I enjoy researching various instruments; especially leveraged and inverse ETFs. I often use these instruments to increase my returns
Thank you for the opportunity to comment on the Obligations on Complex Products and Options from the perspective of small investors. Such products offered in public securities and exchange traded funds have provided small investors like me and my family members the access to hedging products at reasonable costs. Such products provide us the hedge and protection so that we can invest in a wider
