The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to require clearing firms and market makers that are members of the NASD to conduct or to participate in the testing of their computer systems to ascertain decimal pricing conversion compatibility of those systems.
Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Please make it a fair and transparent market for all investors to be on an even trading ground. Impose jail time for anyone violating terms and rules. Compensate retail investors.
ACTION REQUESTED
Regulation Of Shelf Offerings
Comment Period Expires: October 15, 2001
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
IM-2440
Mark-Up Policy
Merchant Banking
NASD Rule 2710
NASD Rule 2720
NASD
Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to encourage the use of mediation and increase revenue by adjusting mediation fee schedules, and to permit parties to agree to stay arbitrations in order to mediate the claim.
In not in agreement how shorts are been managed and how SEC are filling rules and there’s no action to thw hedge funds that are shorting. The system is confrontating manipulation and needs to be addressed
Please allow individual plans to formulate their own investing rules without the government adding new laws and restrictions. Risks of investing in cryptocurrency funds such as BITO are understandable by investors such as myself. There are many public funds that are of high risk that do not incur onerous investment restrictions.
Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD IM-8310-2 to provide for the publication of all final, litigated decisions issued by the Office of Hearing Officers, the National Adjudicatory Council and the NASD Board, regardless of sanctions imposed.
