List of extension reason codes with summary information and filing details.
Dear regulators. How about you do your jobs and protect the investor public by enforcing the laws concerning illegal activities being openly used by hedge fund managers to manipulate the markets to their benefit? It's outrageous that entities who profit ( in insane amounts ) are allowed to control not only fringe investing techniques, but to operate as market makers to directly benefit their
Regarding section D. "Information on Allocations of Fail-to-Deliver Positions" in the sections marked as "Identify of correspondent firm" and "Amount allocated to correspondent firm (number of shares). I believe that what constitutes a "Correspondent firm" and who this refers to exactly need to be more accurately defined in order to avoid misreporting or
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the North Region, South Region, and Central Region. The nominees, nominated for two-year terms
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
INFORMATIONAL
Series 55 — Equity Trader Examination
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registration
Senior Management
Trading & Market Making
Training
Equity Trader
Proprietary Trading
Series 55 Examination
Executive Summary
&
To whom it may concern,
FINRA has proposed a raft of potential restrictions on so-called "complex" investment products, among them leveraged and inverse funds. Whereas some of the proposed restrictions are at least somewhat reasonable, like passing some sort of rudimentary test to ensure the investor is aware of what the product is, others are downright outrageous, such as not
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
INFORMATIONAL
SEC Rule 504 And Intra-State-Only Offerings
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Trading & Market Making
Free-Riding and Withholding
IM-2110-1
NASD Rule 2710
NASD Rule 2720
NASD Rule 2810
Underwriting Compensation
Executive
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
