Please do not impose restrictions on my ability to trade leveraged and inverse strategies. I believe the current advisory system issued to investors is sufficiently effective in educating the public of the inherent volatility in such strategies. More regulations will greatly limit the participation of the general public in such investments and would lead to these investments only being available
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
I'd like to see the market have more transparency of shorts. In today's day and age, there should be 8-15 days to see a company's short percentage. The market information should be available to all investors no matter their size. Also, I feel that the "dark pool" system should be abolished. It too can possibly create uncertainty in the market. Thank you.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS JULY 10, 1985
The National Association of Securities Dealers, Inc. is soliciting comments from members and other interested persons on a proposed amendment to Article III, Section 28 of the NASD's Rules of Fair Practice ("Section 28"), 1/ which would impose certain requirements on associated
INFORMATIONAL
Erroneous Complaint Procedures
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Clearly Erroneous Complaint Procedures
NASD Rule 11890
Executive Summary
The purpose of this Notice is to reiterate the procedures for filing complaints under the National Association of
FINRA operates Monday through Friday during regular business hours, except as indicated below.2025 DateHolidayWednesday, January 1, 2025New Year’s DayFriday, January 17, 2025Friday before Martin Luther King, Jr. Day (1 p.m. early close)Monday, January 20, 2025Martin Luther King, Jr. DayFriday, February 14, 2025Friday before President's Day (1 p.m. early close)Monday, February 17,
When does FINRA plan on improving their T+x system so that it’s not so abusable by hedge funds and other institutions? Blockchain for same day settlement? Are any kind of improvements coming on for retail investors in the form of information availability? As in, the info will be available sooner and will actually be relevant content and not 3 months delayed and barely relevant to the market upon
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
