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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 4, 1986, 19 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,237. These 19 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
<p>Exemptive request denied: the OATS Rules do not provide NASD Regulation with the authority to grant exemptions from any of the OATS requirements.</p>
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
Smishing is a tactic in which scammers send unsolicited messages to targets over short message service (SMS), or text messages. A newer development with this type of fraud involves scammers requesting that targets respond to messages to get around protections that automatically deactivate hyperlinks in messages received from unknown numbers.
Summary
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment deadline is January 22, 2021.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background & Discussion
September 21, 2005
NASD is issuing this OATS Report to clarify the application of guidance provided in the June 22, 2005 OATS Report entitled "OATS Reporting Obligations for Agency Orders," to OATS Phase II reporting requirements. Specifically, the requirement prescribed in the June 22, 2005 OATS Report to submit Execution Reports instead of Route Reports for certain post
Dear Sirs or Madams,
I am not sure why you are wanting to stifle individuals that want to take part in the free enterprise system. Your efforts to control an individuals freedom to invest should not be something you decide.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST.
As individual investors, we have complete freedom to select and invest in any commodity, not just stocks, but also leverage, options, and futures. This regulation will be in violation of the free market system.
These proposed changes and restrictions is just another example of over reaching, excessive, controlling and evolving socialist government. Free markets, free countries, and free people thrive in a capitalistic system because it works if its allowed to.
