SUGGESTED ROUTING*
Senior Management Legal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Small Order Execution System (SOES) was created to allow public customers to enter orders of limited size into the NASDAQ System for immediate execution at the best available price. Section 3(c) of the SOES
Please do not change the rules regarding leverage and leveraged exchange traded funds. This would detrimentally affect my portfolio today and my ability to earn in the future.
TO: All NASD Members
The Securities and Exchange Commission has adopted the amendments proposed in March to its shareholder communications rules. The amendments, which specify the obligations of brokerage firms and issuers, stipulate:
• That issuers who request a list of nonobjecting security holders from one broker must request it from all brokers with customers who beneficially own the issuer
Proposed Rule Change to Revise the Series 55 Examination Program
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
This rule needs to be in place to set the short sellers straight and bring to light their positions.
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Operations
Trading
Market Making
Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC)
We are conducting a comprehensive self-evaluation and organizational improvement initiative called FINRA360. The objective of this effort, which CEO Robert Cook launched in early 2017, is to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant
