Equity Securities as Compensation for Capital Acquisition Brokers
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
April 12, 1988
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 12, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix A to Article III, Section 30 of the NASD Rules of Fair Practice (Appendix A), which contains the NASD's margin maintenance rules. The proposed amendments will update the NASD's margin maintenance rules to
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS SEPTEMBER 2, 1986.
Enclosed is a proposed new rule (attached as Exhibit I) that will amend Article III, Section 26 of the NASD Rules of Fair Practice by the addition of new subsection (m). Proposed new subsection (m) was approved by the NASD Board of Governors and now requires membership approval. If
I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 49 issues will voluntarily join the NASDAQ National Market System on Tuesday, November 22, bringing the total number of NMS securities to 635. These 49 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 49
As previously announced, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
Effective Date: October 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Technology
Training
Debt Securities
Operations
Rule 7010
Transaction Reporting
Executive Summary
On August 1, 2005
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
Dear Regulator,
I first learned about leveraged ETFs in 2007, just before the great financial crisis and I have used them as part of my portfolio to achieve my investment goals ever since.
I had a position in them just before the great financial crisis, and remember well how quickly they lost value, but having grown up in a hyper-inflationary environment, I also had clear understanding of the
