ACTION REQUIREDMail VoteLast Voting Date: May 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementNASD By-LawsExecutive SummaryNASD invites members to vote to approve amendments to the NASD By-Laws that will: eliminate two seats on the NASD Board of Governors (NASD Board) that are currently reserved for representatives of the American Stock
A vibrant and efficient capital-raising process fosters business expansion, job creation, innovation and economic growth. FINRA members play a critical role in facilitating capital formation for businesses of all sizes. FINRA supports the capital-raising process through appropriately tailored rules for its members that are designed for the benefit of all market participants.
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
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SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to provide interpretive guidance to members regarding NASD® Rule 3050 and, in particular, paragraph (d) of the Rule. Rule 3050 was designed to obligate members to use reasonable
April 1999
How Broker/Dealers Can Address Customer Concerns About The Year 2000
Investors are aware of the potential problems caused by the coming century change. As a result, they may consider changing their investing habits and strategies leading to more frequent questioning of their brokerage firms about the Year 2000 issue.
Leading up to the new year, it is important that broker/dealers
To the regulatory committee members of FINRA trying to restrict investors: I am writing you to tell you I highly oppose, as well as being highly offended, that you are planning to regulate personal investing in complex stocks. That is a bold, radical, and unprecedented action that invades my personal freedom to CHOOSE what I do with my money, which I earn. I should be able to let MY MONEY work
I would like the right to invest in my best interest - I am a small investor that can only invest small amount of money each week and I find that these inverse funds works perfectly. I don't find them to be anymore volatile than most tech stocks trading on the NASDAQ. I am not a day trader - I buy these inverse funds to hold depending on what I believe the economy will do. I have been
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
