IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS SEPTEMBER 2, 1986.
Enclosed is a proposed new rule (attached as Exhibit I) that will amend Article III, Section 26 of the NASD Rules of Fair Practice by the addition of new subsection (m). Proposed new subsection (m) was approved by the NASD Board of Governors and now requires membership approval. If
Frequently asked questions about private placements.
Ms. Marcia E. Asquith, Executive Vice President Financial Industry Regulatory Authority, Inc. 1735 K Street, NW Washington, DC 20006-1500 Re: FINRA Regulatory Notice 22-08 (the “Notice”) Dear Ms. Asquith: Defiance ETFS, LLC (“Defiance”), appreciates the opportunity to comment on the Notice. We commend the Financial Industry Regulatory Authority (“FINRA”) for reminding members of their current
Exchange-traded products (ETPs) are a popular way to invest, with thousands of different products available to target almost every imaginable investment objective, but it’s important to remember that not all ETPs are the same. Leveraged and inverse ETPs are complex investments that come with a unique set of risks.
Last Voting Date: July 16, 1999
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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1(b) of Schedule A to the FINRA By-Laws to exempt from the Trading Activity Fee (“TAF”) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.
I am in support of FINRA being in control of the short interest compilation and most fine grained dissemination. I am in support of the most extreme reporting conditions. Reporting should be daily, there is too much time for them to change their books. There is also zero reason they can't report their holdings daily, they have computers, it's not like they actually do anything without
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679:
Symbol
Company
Entry Date
SOES Execution Level
DSGT
Designatronics Incorporated
6/29/94
200
WCBO
West Coast Bancorp
6/29/94
200
BELW
Bellwether Exploration Company
6/30/94
200
HMNF
HMN Financial Resources
6/30/94
500
MSNS
MediSense, Inc.
6/30
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