I would like you to do your job and enforce your rules regulations and other such items. Thank you Have a great day.
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("
NASDR has filed with the SEC a proposed rule change to NASD Interpretive Material 1000-4 to make a technical correction and an amendment to the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") to clarify NASD Regulation's authority to inspect the books and records of The Nasdaq Stock Market, Inc.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish February 4, 2008, as the effective date of the amendments to NASD Rules 6951, 6952, and 6955 that the Commission approved on October 10, 2006. The amendments expand the Order Audit Trail System ("OATS") reporting requirements to over-the-counter (
NASD is filing with the Securities and Exchange Commission a proposed rule change to amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to require an applicant for membership to submit an application in the manner prescribed by NASD. Currently, applicants submit the new membership application form (Form NMA) in hard copy; however, NASD will be requiring
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change proposing (1) amendments to the transaction reporting rules relating to the NASD/NSX Trade Reporting Facility (the "NASD/NSX TRF"), the NASD/BSE Trade Reporting Facility (the "NASD/BSE TRF") and the NASD/NYSE Trade Reporting Facility (the "NASD/
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/NYSE TRF") to be established by NASD, in conjunction with NYSE Market, Inc. ("NYSE"), that would provide members another mechanism for reporting trades in exchange-listed securities
If you read the Regulatory Notice 12-38 regarding FINRA's Short-Interest Reporting Rule, you'll come across this particularly relevant question in the FAQs. Q7. How should a firm reflect fractional shares in its short-interest reports? A7. If a firm has a fractional short-interest position (e.g., 125.6 shares), it should truncate the position to reflect a whole number when reporting
To whom it may concern,
The proposed rule is totally against capitalist markets. The whole nature of free markets and security trading is for people to be to decide where to invest. If they lose their investment, it should be their sole responsibility, just like it is when they gain.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change relating to a phased implementation of SR-NASD-2006-104, which was approved by the Commission on November 21, 2006. Specifically, NASD is proposing to implement on December 20, 2006 amendments to the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries (
