As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On June 29; 1992. the SEC approved amendments to Schedule D of the NASD By-Laws regarding confirmation disclosure requirements for Nasdaq Small-Cap stocks. The new rules require members to furnish specific
Insofar as a member or person associated with a member exercises discretion to trade in index warrants, currency index warrants, or currency warrants in a customer's account, such account shall be subject to the provisions of Rule 2360(b)(18). The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
Amended by SR-FINRA-2008-
FINRA may, upon notice, terminate ADF Data System service in the event that an ADF Trading Center fails to qualify under specified standards of eligibility or fails to pay promptly for services rendered by FINRA.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2006-091 eff. March 5, 2007.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Adopted by SR-NASD-2002-97 eff.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 12, 1990, the following six issues joined Nasdaq/NMS, bringing the total number of issues to 2,587:
Symbol
Company
Entry Date
SOES Execution Level
CBEX
Cambex Corporation
11/20/90
1000
DEPLF
Deprenyl Research Limited
11/20/
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to
These types of funds are crucial to retirement accounts that are not eligible for margin. Inverse ETF's give you the ability to protect yourself from downside risk, which is important because one is not able to put on any short positions in a retirement account.... and sometimes regular cash accounts too!
Inverse and leveraged ETF's are in all of my portfolios, because they
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, December 25, 1987, Christmas Day, and Friday, January 1, 1988, New Year's Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement
