Hello whoever is reading this, hope your day is going well. I am a young investor with a few years experience actively trading and learning about financial products. Even though you're looking at making changes to how a wide range of complex derivate products are regulated, but I would like to talk specifically on leveraged products as they are what I am most familiar with. I'll refer
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The NASD® is publishing a direct participation program (DPP or limited partnership) directory in anticipation of the quotation of DPP securities on the OTC Bulletin Board® Service (OTCBB®) and the commencement of trade reporting of transactions in DPPs on May 15,
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
Executive Summary
The NASD® requests member comments on proposed amendments that would revise existing rules applicable to the sale of variable life insurance contracts and establish new rules applicable to the sale of variable annuity contracts. The proposed amendments incorporate definitions and provisions from the current rules for variable contracts and investment company securities and the
Summary
FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would be similar to those required for NMS stocks under the Securities and Exchange Commission’s (SEC) Rule 606(a) of Regulation NMS, with certain modifications reflecting the different structure of the
TO: All NASD Members
The NASDAQ market will be open on Election Day, Tuesday, November 6, 1984, marking the first time in NASDAQ's 13-year history that it has been open for trading on Presidential Election Day.
In addition, all NASD offices will be staffed on that date and will follow normal operating hours.
Sincerely,
Gordon S. MacklinPresident
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
We encourage you to follow FINRA via social media, RSS feeds and email subscriptions.Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.Social MediaX/Twitter@FINRA has the latest press releases, speeches and announcements.@FINRAFoundation
